An options market maker settled Nasdaq Texas claims that it failed to meet continuous two-sided quoting requirements and failed to supervise that obligation.

The CFTC and the SEC solicited comment on "potential ways to further implement portfolio and cross-margining of securities and derivatives."

A municipal securities dealer settled FINRA claims for charging customers unfair prices on municipal bond trades and failing to supervise its pricing.

The Investment Company Institute urged Congress to maintain and expand access to regulated funds through targeted reforms, investor choice, and innovation.

The CFTC proposed an alternate framework for reporting data on fully collateralized event contracts. The proposal would let designated contract markets and brokers report the products under the futures and options regime rather than the swap reporting regime.