A broker settled FINRA charges for failing to comply with Regulation Best Interest by recommending customers use commission-based accounts for a short-term strategy when lower-cost fee-based options were available.

Two affiliated investment advisers settled SEC charges for including misleading liability disclaimers in advisory agreements and for failing to subject client assets to independent verification.

A firm settled FINRA charges for failing to supervise recommendations of non-traditional exchange-traded funds and failing to file private placement offering materials.

The Federal Deposit Insurance Corporation "adopt[ed] revised guidelines for Appeals of Material Supervisory Determinations to replace the existing Supervision Appeals Review Committee with an independent, standalone office to consider and decide supervisory appeals."

An investment adviser settled SEC charges for failing to disclose material conflicts of interest. The conflicts concerned the firm's financial incentives to complete a business combination for a special purpose acquisition company.