The FDIC and the OCC reminded financial institutions of the importance of implementing sound cybersecurity risk management principles.

In its January disciplinary report, FINRA recapped actions against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities laws and rules.

The SEC proposal to amend the definitions of "accredited investor" in Rule 501(a) of Regulation D and "qualified institutional buyer" under Rule 144A to increase accessibility to private capital markets was published in the Federal Register.

In a regulatory update, Sidley Austin attorney David M. Katz explained recent SEC treatment of "concentrated debits" under the customer protection rule for certain investment funds