The Government Accountability Office reported that 99 percent of the companies that filed conflict minerals disclosures in 2016 were unable to determine whether the conflict minerals financed or benefited armed groups.

The Conference of State Bank Supervisors filed a complaint against the Office of the Comptroller of Currency in an effort to prevent the creation of a national nonbank charter.

The SEC Division of Trading and Markets provided a broker-dealer with no-action relief concerning covered exchange-traded fund shares for closeout purposes under Regulation SHO.

FINRA proposed amendments to certain rules to expedite arbitrations.

The Office of the Comptroller of the Currency assessed a $15 million civil money penalty against a U.S. bank for violations of bankruptcy filing practices.