The Loan Syndications and Trading Association updated its guidance on customer identification procedures during loan syndication to reflect FinCEN's Beneficial Ownership Rule.

The U.S. Treasury Department proposed guidance to clarify how taxable gains may be deferred by new investments in designated "opportunity zones."

The Financial Action Task Force reviewed the progress of certain jurisdictions that committed to addressing anti-money laundering and combating the financing of terrorism deficiencies.

University of Houston Finance Professor Craig Pirrong said that one way to reduce spoofing is to reduce "tick sizes" (i.e., the minimum price increment set by exchanges).

SEC Commissioner Robert J. Jackson, Jr. called upon the agency to focus on the "forgotten fourth pillar" of its mission: facilitating competition in capital markets.

SIFMA, ISDA, FIA, and other industry trade associations and diverse banking organizations made recommendations on proposed changes to regulations implementing the "Volcker Rule."

Senate Committee on Banking, Housing and Urban Affairs member Mike Rounds introduced six bills intended to reduce regulatory burdens for investors and small businesses.

A broker-dealer settled FINRA charges for erroneously disbursing higher than agreed upon fees from customer accounts to third-party advisors.

A broker-dealer agreed to settle FINRA charges for failing to establish and maintain a supervisory system reasonably designed to oversee the activities of an outside vendor.

A broker-dealer agreed to settle charges for improper entry of Intermarket Sweep Orders and compliance violations related to supervision requirements under Regulation NMS.