The House Financial Services Committee considered (i) testimony from federal banking regulators on a broad range of concerns and (ii) several proposed bills imposing additional requirements on financial institutions.

The SEC charged an entity and several associated individuals with misleading 100 investors - most of whom were seniors - resulting in $4.9 million in losses.

The SEC proposed amending advertising and solicitation rules under the Investment Advisers Act.

The SEC granted no-action relief to a Maryland-based real estate investment trust. The relief allows the trust to repurchase shares from its shareholders.

The SEC Division of Corporation Finance Office of Mergers and Acquisitions granted no-action relief to an open-end management investment company from transactions that involve certain securities.

The SEC Division of Corporate Finance granted a Spanish bank exemptive relief from certain tender offer requirements.

The SEC granted no-action relief to an Indian based issuer in order to allow it to conduct a partial tender offer for shares of the company.

In a 2019 FDIC Risk Review, the agency highlighted credit and market risk as key threats to the banking industry.

A broker-dealer settled FINRA charges of failure to "establish, maintain and enforce a sufficient supervisory system ... reasonably designed to achieve compliance with applicable securities laws and regulations."

The SEC granted no-action relief to an Indian issuer in order to conduct a partial tender offer for shares of the company.