In a monthly report, FINRA recapped disciplinary actions against member firms and individuals for violations of FINRA rules, MSRB rules and federal securities laws and rules.

SEC Office of Compliance Inspections and Examinations Director Peter Driscoll urged firms to establish and maintain strong compliance programs that address AML, microcap securities, paying agents and cybersecurity.

Federal Reserve Board Vice Chair for Supervision Randal Quarles highlighted the agency's continuing efforts to tailor its post-crisis regulatory framework.

A CFTC proposal amending regulations to "enhance certain risk management and reporting obligations" was published in the Federal Register.

The FinCEN renewed a Geographic Targeting Order requiring title insurance companies to collect and report beneficial ownership information for certain real estate purchases.