A broker settled FINRA charges for falsifying an insurance claim form.

A firm settled FINRA charges for supervisory failures concerning eligible sales charge waivers and fee rebates.

In a joint discussion paper, SIFMA, the International Swaps and Derivatives Association ("ISDA"), and the Futures Industry Association ("FIA") asserted that current capital rules on qualifying central counterparty's ("QCCP's") default fund contributions—which base capital requirements on a qualifying central counterparty's "hypothetical capital requirement"—do not adequately "reflect the economics and risk offsets of QCCP cross-margining."

FINRA suspended a broker for exercising discretion in customer accounts without written authorization.

SIFMA called on the SEC to simplify the registration and deregistration forms—MSD ("Application") and MSDW ("Notice of Withdrawal")—that bank municipal securities dealers ("MSDs") are required to file.