The OCC named Benjamin W. McDonough as its Senior Deputy Comptroller and Chief Counsel.

The MSRB requested comment on a draft amendment that would limit certain required annual customer notifications by broker-dealers and municipal securities dealers.

A firm and its general securities principal settled FINRA charges for disclosure and supervisory violations on outside business activities and private securities transactions.

The Federal Reserve Board, the CFPB, the FDIC, the National Credit Union Administration and the OCC extended a request for information and comments on financial institutions' use of artificial intelligence and machine learning.