The CFTC resolved a series of enforcement actions related to compliance violations that did not involve fraud, customer harm, or market abuse.

The Congressional Research Service summarized the current regulatory, legislative, and litigation landscape for proxy advisory firms.

Federal Reserve Bank of New York economists proposed a new framework for assessing bank solvency.

Thirteen industry trade groups urged Congress to extend the Cybersecurity Information Sharing Act.

In remarks at SIFMA’s Private Markets Valuation Roundtable, SEC Commissioner Mark T. Uyeda supported "some level of exposure" by retail investors to private markets.