The SEC proposed amendments that would expand exemptions from registration related to securities issued by non-reporting companies for certain compensation plans.

An OCC proposal that would codify existing guidance to ensure that national banks and federal savings associations offer fair access to financial services was published in the Federal Register.

CFPB Director Kathy Kraninger described the agency's research perspective on small business lending data, credit reporting accuracy, and alternative credit data.

A firm settled FINRA charges for Order Audit Trail System reporting violations and written supervisory procedure failings.