FINRA proposed amendments to modify FINRA/Nasdaq trade reporting facility reporting fees.

FINRA withdrew proposed amendments to modify the process for expunging customer dispute information.

The SEC and CFTC charged two investment advisers and their portfolio managers with making material misrepresentations to investors as to worst-case losses, risk management and the advisers' risk profile of the portfolios they managed.

FINRA proposed amendments to the Supplemental Inventory Schedule under FOCUS Report requirements. Under the proposal, members that file FOCUS Report Part II (containing annual audit reports) would not be required to file the supplementary schedule.

OFAC clarified that the prohibitions in an Executive Order addressing the threat from securities investments that finance Communist Chinese military companies do not apply to Xiaomi Corporation.