The OCC settled charges against a bank's former auditors for failing to take action on pervasive "sales practice misconduct."

In opposing a petition before the US Supreme Court, the Justice Department and FINRA defended the constitutionality of the self-regulatory agency's enforcement powers.

The Congressional Research Service identified issues and policy options related to the growth of "nonbank financial intermediation" or "shadow banking" entities that operate outside of the prudential regulation of the banking system.

Researchers from the Office of Financial Research ("OFR") evaluated the potential effect of the SEC's central clearing rule on "the level and behavior of [Secured Overnight Financing Rate],... which "serves as a benchmark for borrowing cash overnight in the United States."

Financial and trade associations urged the SEC to extend the compliance dates on adopted rule amendments that intended to enhance the privacy of consumer financial information and safeguard personal information.