Kimberly Hamm, Chief Council to former SEC Chair Jay Clayton, will step down in the coming weeks.

SEC Division of Corporation Finance Acting Director Shelley E. Parratt will retire following 35 years of service with the agency.

A firm and its CEO settled FINRA charges for failing to adequately supervise the firm's outside business activities and employee communications.

In an annual notice, the MSRB provided criteria for designating participants in the next required testing of the MSRB's business continuity / disaster recovery plans.

The CFPB amended Truth in Lending regulations to provide certain insured depository institutions and credit unions with an exemption from establishing escrow accounts for higher-priced mortgage loans.