The House Financial Services Committee marked up a series of bills for final consideration, including the "Protecting Private Job Creators Act" which "addresses disclosures in over-the-counter markets and imposes requirements upon broker-dealers who publish quotations in such markets."

The American Bankers Association supported the Consumer Financial Protection Bureau's proposed amendments to eliminate disparate impact liability under the Equal Credit Opportunity Act.

SEC Chair Paul Atkins asserted that the SEC's data collection tools, including the Consolidated Audit Trail, swap data repositories, and Form PF, have expanded in ways that "increasingly put the liberty of America investors at risk."

A broker-dealer settled charges for failing to reasonably supervise recommendations of Class A mutual fund switches and short-term sales.

FINRA settled charges against an introducing broker for failing to report thousands of large options positions that were held by its clearing firms.