FINRA suspended a broker for removing and transferring confidential and proprietary firm information when he left to join a competing firm.

The Office of the Comptroller of the Currency and the Federal Deposit Insurance Corporation issued a proposed rulemaking to eliminate "reputation risk" as a factor in evaluating financial institutions under their supervisory programs.

In bulletins updating examination procedures, the Office of the Comptroller of the Currency ("OCC") "eliminate[d] mandatory examination activities not required by statute or regulation to reduce supervisory burden for community banks."

The Investment Company Institute ("ICI") outlined operational considerations for launching an exchange-traded fund ("ETF") share class within an existing mutual fund portfolio.

SIFMA executives urged the SEC to treat the upcoming Consolidated Tape Plan fee filing as an opportunity for reforming the U.S. consolidated equity market data system.