The CFTC's Market Participants Division issued a letter extending its no-action position on swaps intended to be cleared and traded on eligible UK Trading venues.

FINRA censured and fined a broker-dealer for publishing inaccurate and incomplete quarterly reports.

The Texas State Securities Board entered separate Orders against five broker-dealers for charging retail customers unreasonable commissions on small-dollar equity transactions.

The CFTC Market Participants Division issued no-action relief allowing persons to exclude energy commodity swaps with commercial end-users from swap dealer de minimis threshold calculations. The relief is subject to recordkeeping and monthly reporting requirements for a three-month pilot period.

The New York Stock Exchange adopted new Rule 5310 to establish best execution obligations for member organizations and associated persons.