The International Organization of Securities Commissions proposed updates to its 2013 Principles for the Valuation of Collective Investment Schemes and its 2007 Principles for the Valuation of Hedge Fund Portfolios.

FINRA charged a broker with improperly borrowing money from an elderly customer and making false statements.

FINRA expanded the operating hours of the FINRA Trade Reporting Facilities used for reporting over-the-counter transactions in NMS stocks.

The SEC’s Division of Corporation Finance provided guidance to assist issuers with filings submitted during the government shutdown.

The Consumer Financial Protection Bureau proposed amendments to Regulation B, the regulation implementing the Equal Credit Opportunity Act, to clarify compliance obligations and promote merit-based, race-neutral regulatory standards.