The SEC reminded registered investment companies of certain requirements concerning filing monthly portfolio investment reports (N-PORT) and annual reports (N-CEN).

A broker-dealer and its Chief Financial Officer and Financial Operations Principal settled FINRA charges for operating a securities business below the net capital requirement.

The Federal Reserve Board final rule tailoring the application of prudential standards to U.S. bank holding companies and applying enhanced standards to certain large savings and loan holding companies was published in the Federal Register.

The Federal Reserve Board and FDIC final rule amending resolution planning requirements under the Dodd-Frank Act was published in the Federal Register.

A broker-dealer settled FINRA charges for the firm's failure to fulfill its supervisory and inspection requirements, including oversight of electronic communications, outside business activities, and the firm's branch offices.