A broker-dealer settled FINRA charges of failure to prevent trade-throughs of protected quotations in national market system stocks.

OFAC designated two members of Venezuela's Maduro regime for illegally enriching themselves and contributing to the ongoing Venezuelan electricity crisis.

CFTC staff provided no-action relief to floor traders from counting certain swaps towards the de minimis threshold for purposes of determining whether registration as a "swap dealer" is required.

A bank settled SEC charges in connection with overcharging mutual funds and registered investment company clients for expenses relating to the custody of client assets.

The FDIC created a new division that will be responsible for supervising and monitoring banks with total assets greater than $100 billion, as well as complex financial institutions.