In a 2016 Annual Review, the National Futures Association summarized developments relating to its regulatory responsibilities under Dodd Frank, international membership, technology, governance and cybersecurity.

IOSCO requested public comment on the findings of a new report that surveyed the approaches and practices of regulators concerning incentives for order routing and execution.

In a recent Investor Bulletin, the SEC Office of Investor Education and Advocacy outlined the arbitration and mediation processes that are involved in a customer's dispute with a broker-dealer.

FINRA imposed a total of $14.4 million in sanctions against 12 broker-dealers for failing to preserve records in the required non-erasable and non-rewritable ("WORM") format, and for other violations.

The U.S. District Court for the Northern District of Illinois entered a Consent Order of Permanent Injunction against a trader and his proprietary trading company for allegedly participating in a "spoofing" scheme.