SIFMA urged the SEC to adopt proposed "Regulation CC" as part of a broader effort to modernize and streamline the "Collateral Consequences" disqualification waiver process under the federal securities laws.

The U.S. Court of Appeals for the Tenth Circuit upheld a lower court ruling affirming that Federal Reserve Banks have discretion to deny master account applications from legally eligible institutions.

The Financial Action Task Force added three annexes, each addressing a distinct aspect of national risk assessment design and implementation, to its "Money Laundering National Risk Assessment Toolkit."

The SEC issued an Order granting temporary exemptive relief from several upcoming compliance dates under Regulation NMS amendments related to minimum pricing increments, access fees and timing for determination of exchange fees and rebates.

A firm settled FINRA charges for failing to provide customers with complete market data displays and related supervisory deficiencies.