A swap dealer settled charges with the CFTC for failing to retain audio files due to vendor system failures.

A broker-dealer settled SEC charges for failing to file Suspicious Activity Reports on "suspicious transactions that were executed on its Alternative Trading System."

A broker-dealer and its chief compliance officer settled charges with NYSE American LLC for improperly booking trades and for allowing an employee to send text messages that were not retained by the firm.

The D.C. Court of Appeals vacated the SEC's disapproval of NYSE Arca's proposal to allow the listing and trading of shares of Bitwise Bitcoin ETP Trust and Grayscale Bitcoin Trust, both of which held bitcoin.

SEC Chief Accountant Paul Munter reminded management and auditors of their obligations to take a "holistic approach" when evaluating the effectiveness of issuers' internal controls over financial reporting.