A broker-dealer settled FINRA charges for failing to "establish, maintain, and enforce a reasonable supervisory system . . . to review electronic communications that its registered representatives sent and received."

The SEC approved significant increases in the annual budget of the Public Company Accounting Oversight Board and the related annual accounting support fee.

The CFTC Market Participants Division extended temporary no-action relief to permit futures commission merchants to invest customer funds in securities that include an adjustable interest rate benchmarked to the Secured Overnight Financing Rate.

A broker-dealer settled NYSE Arca charges for (i) failing to obtain customer consent prior to adjusting an options trade, (ii) executing the trade at terms that the customer had said were not acceptable and (iii) recordkeeping failures.

The MSRB proposed a rule change to extend the time period to January 31 to annually affirm the information on Form A-12, the MSRB's consolidated electronic registration form.