A Hong Kong-based hedge fund settled CFTC charges for exceeding the spot month speculative position limit for soft red winter wheat futures contracts.

FDIC Chair Jelena McWilliams highlighted recent regulatory developments and additional work concerning resolution planning for large institutions in a cross-border context.

FINRA proposed amending Rules 6110 and 6610 to expand the summary firm data that FINRA publishes on its website regarding OTC equity trading.

The SEC approved amendments to MSRB Rule G-11 ("Primary Offering Practices") and MSRB Rule G-32 ("Disclosures in Connection with Primary Offerings") that will go into effect on January 13, 2020.

The SEC charged a municipal advisor with breaching its fiduciary duty by failing to provide services promised to its client.