A trading firm settled NYSE Arca charges for incorrectly calculating net capital.
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An equities market maker settled NYSE Arca charges for "failing to maintain continuous two-sided trading interest."
The OCC, Treasury, Federal Reserve Board and FDIC proposed a joint rulemaking to establish requirements for tax allocation agreements between institutions and their holding companies in a consolidated tax filing group.
The Council of Institutional Investors provided the SEC with feedback on its semiannual regulatory agenda with a focus on investor protection, corporate disclosure, and market systems and structure.
Treasury Secretary Janet Yellen welcomed the UK's new Global Anti-Corruption Sanctions Regime, which "builds upon the success" of the UK's Global Human Rights Sanctions Regime.