The SEC charged a California-based options trader with orchestrating a spoofing scheme to manipulate the prices of thinly traded options.

A broker settled SEC charges for making unsuitable recommendations to retail customers to purchase high-risk corporate bonds.

The American Bankers Association ("ABA") urged policymakers to overhaul the nation’s deposit insurance and bank resolution framework.

FINRA suspended a broker for recommending complex mortgage-backed bonds to an elderly customer.

The Bank Policy Institute urged federal banking agencies to revise and consolidate information on country exposures currently collected on FFIEC reporting forms.