In a farewell address, CFTC Commissioner Sharon Y. Bowen reflected on agency accomplishments during her tenure and highlighted "unfinished business."

A swap dealer agreed to pay a fine to settle charges of violating swap data recordkeeping and reporting regulations, and related supervisory requirements.

The SEC Office of Investor Education and Advocacy issued an Investor Bulletin detailing factors to consider when opening an investment advisory account.

A broker-dealer agreed to settle FINRA charges concerning inadequate supervision of certain short-term transactions involving unit investment trusts.

The Senate Banking Committee will meet on October 4, 2017 to discuss the recent Equifax cybersecurity breach.