The SEC settled charges concerning two partners of a public accounting firm who "got too close to their clients on a personal level and violated rules that ensure firms maintain their objectivity and impartiality during audits."

The CFTC approved two final rules to enhance requirements for system safeguards testing by a derivatives clearing organization. The final rules were published in the Federal Register.

The SEC approved a FINRA proposal, as amended, to eliminate or reduce several of the filing requirements applicable to FINRA members' communications with the public.

The SEC approved an MSRB proposal, as modified by Amendment No. 1, to provide academic institutions with post-trade municipal securities transaction data collected through the MSRB Real-Time Transaction Reporting System. The final rule was published in the Federal Register.

Comptroller of the Currency Thomas J. Curry asserted that regulatory reforms since 2008 have improved capital, limited leverage, enhanced liquidity and improved supervision.