A broker-dealer settled FINRA charges for disclosure and reporting failures concerning customer complaint information.

SEC Division of Corporation Finance Director William H. Hinman will step down from his position later this year.

The OCC, the Federal Reserve Board and the FDIC finalized three interim rules that revise the regulatory capital rule and the liquidity coverage ratio rule.

Several trade groups expressed support for CFTC-proposed amendments to uncleared swap margin requirements. The groups offered additional recommendations to enhance the proposals or further their intended impact.