The SEC Division of Corporation Finance granted an India-based entity no-action relief from certain Exchange Act tender offer requirements to allow for compliance with applicable Indian law.

A FINRA-registered alternative trading system settled charges for failing to preserve memoranda on more than 95 million orders received from broker-dealer customers.

The FDIC and Federal Reserve Board amended the asset-size thresholds used to define "small bank" and "intermediate small bank" under Community Reinvestment Act regulations.

A broker-dealer settled FINRA charges for overstating the firm's daily trading volume by nearly 148,000,000 shares on Bloomberg and Thomson Reuters, subscriber-based market data platforms.

Both sell-side and buy-side trade associations expressed significant reservations on the SEC's proposal to require covered clearing agencies that provide central counterparty services for Treasury securities to require members to centrally clear many of their repo transactions in Treasury securities.