FINRA fined a firm for failing to detect the conversion of more than $370,000 from five customer accounts by one of its registered representatives.

The House Financial Services Committee approved the Financial CHOICE Act, a Republican plan that would replace the Dodd-Frank Act.

The North American Securities Administrators Association issued a report on state regulator enforcement actions in 2015.

The U.S. Chamber of Commerce proposed a pro-growth legislative and regulatory agenda for the next administration. The recommendations were designed, in part, to strengthen and enhance capital market formation.

CFTC Chair Timothy G. Massad notified legislators of that he will recommend that the CFTC exempt regional grid operators from all private rights of action under CEA Section 22.