The SEC charged that an audit firm failed to maintain independence from clients while engaging in audits, exams and reviews.

The CFTC proposed raising the amount of money required to invest in funds under CFTC Rule 4.7 ("Exemption from certain part 4 requirements for commodity pool operators with respect to offerings to qualified eligible persons") and increasing the disclosure requirements applicable to such funds.

A consumer goods company and its former CEO settled charges with the SEC for making misleading statements to investors by using non-GAAP measures on "core growth" and "core sales" in earnings reports.

The SEC instituted proceedings to determine whether to approve a FINRA proposal that would change margin requirements for certain types of "protected" index options.

A New York-chartered "state nonmember insured bank" settled FinCEN charges for willful violations of the Bank Secrecy Act.