The Board of Governors of the Federal Reserve System requested comment on its proposal to enhance risk-based capital requirements on financial holding companies engaged in activities related to physical commodities and merchant banking investments. The request for comment was published in the Federal Register.

The SEC settled charges against a casino-gaming company for allegedly firing an employee with several years of positive performance reviews because he reported to senior management and the SEC that the company's financial statements might be distorted.

The SEC Office of Investor Education and Advocacy outlined factors for investors to consider before investing in microcap stocks in the first installment of a 3-part Investor Bulletin.

The CFTC settled charges against an energy company accused of acting as an unregistered commodity trading advisor.

FINRA proposed to amend the FINRA Rule 7600B Series to modify fees and transaction credits applicable to members that use the FINRA/NYSE Trade Reporting Facility.