A firm settled FINRA allegations for charging excessive commissions on certain transactions in equity securities, in violation of FINRA's "5% policy" around markups.

The SEC moved forward on proposed substituted compliance determination for UK- and French-regulated firms that register as security-based swap dealers.

The CFTC advised retail investors "to research and understand the commodity futures markets, physical markets, and securities markets before trading based on information on social media."

The Congressional Research Service reviewed the regulatory status of Fannie Mae and Freddie Mac and issues that the government-sponsored enterprises might face in emerging from conservatorship.