The SEC rulemaking package designed to enhance retail investors' protections when dealing with broker-dealers and investment advisers was published in the Federal Register.

A broker-dealer settled FINRA charges for violating reporting, disclosure, distribution and supervisory requirements in connection with various public offerings.

The Financial Accounting Standards Board proposed updates to the U.S. Generally Accepted Accounting Principles financial reporting taxonomy.

The CFTC proposed rule changes relating to the treatment of DCO registration requirements in a cross-border context.

The CFTC Division of Swap Dealer and Intermediary Oversight and Division of Clearing and Risk provided no-action relief and guidance on the treatment of separate accounts of a single beneficial owner by futures commission merchants.