An entity and its owner settled charges with the CFTC for failure to register as a commodity trading adviser in connection with the provision of trading signals for binary options transactions.
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A number of trade groups and industry commenters reiterated their opposition to an SEC proposal to require reporting of large positions in security-based swaps.
House Financial Services Committee members Dan Meuser (R-PA) and Blaine Luetkemeyer (R-MO) asked the FDIC to better assess the potential risks and costs associated with reforms to the deposit insurance system.
Senator Elizabeth Warren (D-MA) urged Federal Reserve Board Chair Jerome Powell to "resist industry pressure" to weaken the FRB's proposal to implement the final provisions of the Basel III agreement.
FINRA proposed amendments to a previously proposed three-year pilot program to allow member firms to meet their remote office inspection obligations without on-site visits.