The SEC announced and settled charges with a firm for failing to provide complete and accurate information about trades done by the firm and its customers, commonly known as "blue sheet" data. See: SEC Order; Press Release.

The National Futures Association ("NFA") announced the results of its Board of Directors elections in the categories of (i) commodity pool operators and commodity trading advisors, (ii) futures commission merchants, (iii) introducing brokers and (iv) swap dealer/major swap participant representatives. All Board members serve two-year terms. At its meeting on February 20, the Board will elect six individuals to serve as public representatives. See : NFA Press Release.

The MSRB filed with the SEC a proposal to streamline and consolidate into a single rule the existing obligations of municipal securities dealers related to fair pricing. Under the proposal, most pricing obligations would be contained in revised MSRB Rule G-30 ("Prices and Commissions"), including duties and guidance under current MSRB Rule G-18 ("Execution of Transactions") and Rule G-17 ("Conduct of Municipal Securities and Municipal Advisory Activities").The proposal indicated that the new rule was intended to consolidate and codify existing rules and interpretations rather than change

FINRA filed a proposed rule change with the SEC that would broaden an arbitrator's authority to make referrals during an arbitration proceeding. See: Text of the Proposed Rule Change.

The Honorable John F. Keenan of the United States District Court for the Southern District of New York entered judgments against defendants Marek Leszczynski, Benjamin Chouchane and Henry Condron (collectively, the "brokers") in the SEC's fraud case against the listed defendants. The SEC charged the brokers, who formerly worked on the cash desk at a broker-dealer firm, with illegally overcharging customers $18.7 million by using hidden markups and markdowns and secretly keeping portions of profitable customer trades. The fraudulent charges involved more than 36,000 transactions during a four