A broker-dealer and one of its representatives settled FINRA charges for inaccurately reporting the broker-dealer's business expenses and the representative's personal expenses.

In a newly published resource guide, the FDIC promoted partnerships between "mission-driven" banks and other financial institutions in order to facilitate "critically needed" banking services to those communities where such services are not traditionally accessible or affordable.

FINRA proposed extending a pilot program that governs the review of "clearly erroneous transactions" in exchange-listed securities.

A Federal Reserve Board Advance Notice of Proposed Rulemaking soliciting comment on policies to modernize the "regulatory and supervisory framework" of the Community Reinvestment Act was published in the Federal Register.

The CFTC amended the conditions under which non-U.S. CPOs qualify for exemption from registration.