A broker-dealer settled FINRA charges for supervisory failures concerning "excessive sales charges" in early rollovers of Unit Investment Trusts.
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The comment deadline for the U.S. prudential regulators' proposal to amend rules governing margin requirements for uncleared swaps and security-based swaps was extended.
U.S. Representatives Rashida Tlaib (D-MI) and Alma S. Adams (D-NC) introduced bills that would amend the Fair Credit Reporting Act to improve consumer protections.
The UK Chancellor of the Exchequer named Andrew Bailey as the next Governor of the Bank of England.