The Financial Technology Association, joined by more than 80 Fintech, technology, retail and trade industry organizations, urged President Trump to block large banks from imposing "account access" fees on consumers seeking to allow third parties to access their data. Banking associations responded, rejecting claims that proposed fees would limit consumer data access.

A firm settled FINRA charges for publishing inaccurate and incomplete quarterly order routing reports and related supervisory failures.

A broker settled FINRA charges for falsifying an insurance claim form.

A firm settled FINRA charges for supervisory failures concerning eligible sales charge waivers and fee rebates.

In a joint discussion paper, SIFMA, the International Swaps and Derivatives Association ("ISDA"), and the Futures Industry Association ("FIA") asserted that current capital rules on qualifying central counterparty's ("QCCP's") default fund contributions—which base capital requirements on a qualifying central counterparty's "hypothetical capital requirement"—do not adequately "reflect the economics and risk offsets of QCCP cross-margining."