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.

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."

At a roundtable discussion hosted by the Federal Reserve Board, bankers and community groups described their experiences with Community Reinvestment Act implementation and proposed amendments to better address underserved areas.

NFA adopted supervisory requirements and technical amendments concerning swap activities.

The MSRB updated its guidance on gifts and gratuities limitations for broker-dealers, municipal securities dealers and municipal advisors.

The SEC adopted a rulemaking package designed to enhance retail investors' protections when dealing with broker-dealers and investment advisers.

The SEC proposed several amendments to its rules governing security-based swaps entered into by non-U.S. firms.

FDIC Chair Jelena McWilliams "challenged" the agency to increase its efforts to understand and address "the needs of our communities and the banks that serve them."