SEC Commissioner Hester M. Peirce called on the SEC to consider alternative methods to enforcement proceedings when addressing compliance infractions.

A broker-dealer agreed to settle FINRA charges for failing to comply with close-out obligations in connection with delivery fails resulting from sales of equity securities.

A broker-dealer agreed to settle FINRA charges for failure to identify and apply waivers to eligible retirement accounts and charitable organizations.

The CFTC final rule amending the definition of "swap dealer" was published in the Federal Register.

The Securities Trading Association offered support for, and additional recommendations on, FINRA's proposal to amend its Continuing Education program.

The SEC made a correction to a form relating to disclosure requirements for alternative trading systems that trade in National Market System stocks.

In a Risk Alert, the SEC Office of Compliance Inspections and Examinations provided information on a series of examination initiatives being conducted on mutual funds and exchange-traded funds.

Vice Chair for Supervision Randal K. Quarles considered proposed changes to the Federal Reserve Board's stress testing regime that would increase both its transparency and efficiency.

In the inaugural issue of Supervision and Regulation Report, the Federal Reserve Board summarized current banking conditions and supervisory and regulatory activities.

A money transfer company agreed to settle charges for failing to implement previously prescribed Federal Trade Commission and DOJ anti-money laundering and fraud prevention compliance programs.