FINRA permanently barred a California-based registered representative for participating in private securities transactions in connection with the EB-5 investment program and actively concealing these activities from his employer.

The FDIC adopted guidance on Model Risk Management issued by the Board of Governors of the Federal Reserve System and the Office of the Comptroller of the Currency.

Former SEC Commissioner Paul Atkins urged U.S. Labor Secretary Alexander Acosta to consider again a delay in the implementation of the Fiduciary Rule.

The Office of the Comptroller of the Currency published an updated version of the "Termination of Federal Charter" booklet of the Comptroller's Licensing Manual.

SIFMA Executive Vice President Randy Snook discussed FinTech innovation in the capital markets.