FINRA suspended a broker for failing to properly supervise two traders who mismarked positions.

FINRA suspended a broker for signing insurance-related documents on behalf of customers without authorization.

The CFTC's Market Participants Division ("MPD") issued guidance to "assist entities considering registering as, or acquiring, [Futures Commission Merchants] ("FCMs")."

The Congressional Research Service highlighted systemic vulnerabilities within the nonbank financial intermediation (a/k/a "shadow banking") sector.

The OCC, FDIC and NCUA issued an Order allowing banks to collect Taxpayer Identification Numbers from third-party sources instead of directly from customers.