The SEC Division of Trading and Markets clarified certain recordkeeping requirements for broker-dealers.

In testimony before the Senate Banking Committee, Consumer Financial Protection Bureau Acting Director Mick Mulvaney outlined his recommendations for curbing the power and authority of the CFPB.

The Federal Trade Commission secured an expanded settlement agreement with Uber Technologies, Inc. following its failure to report a 2016 consumer data breach.

A broker-dealer agreed to pay a $1.575 million fine to settle FINRA charges of failing to supervise trading and failing to implement financial and regulatory risk management controls and procedures.

The MSRB named Lanny Schwartz as Chief Regulatory Officer. The appointment is effective April 24, 2018.