FINRA proposed to extend temporary relief for FINRA staff from certain enforcement and other procedural requirements.

The SEC announced that Consolidated Audit Trail participants withdrew a proposed amendment to implement a revised funding model for the CAT and to impose a related fee schedule.

GAO identified deficiencies in the SEC's oversight of FINRA and offered recommendations for enhancing SEC oversight.

The FRB, the FDIC and the OCC extended previously issued no-action relief to asset managers and other institutions from certain regulations that limit extensions of credit to "insiders."

A broker-dealer settled SEC charges for (i) the offer and sale of unregistered microcap securities, and (ii) failure to file suspicious activity reports for transactions it executed as agent for one of its offshore customers.