Senior Counsel to CFTC Chair J. Christopher Giancarlo, Ms. Maggie Sklar, will leave the CFTC this July.

A broker-dealer settled FINRA charges for executing and introducing orders from a fund engaged in potentially manipulative trading.

The FINRA proposal making non-substantive changes to its Consolidated Audit Trail plan and Rule 409T was published in the Federal Register.

The SEC rulemaking package designed to enhance retail investors' protections when dealing with broker-dealers and investment advisers was published in the Federal Register.

A broker-dealer settled FINRA charges for violating reporting, disclosure, distribution and supervisory requirements in connection with various public offerings.