The SEC awarded more than $3.5 million to a company employee whose "tip bolstered an ongoing investigation with additional evidence of wrongdoing that strengthened the SEC's case."

A FINRA Investor Alert covered crowdfunding rules and processes.

The CFTC Division of Swap Dealer and Intermediary Oversight and the Office of the Chief Economist recommended against imposing an earlier deadline for funding under-margined customer accounts.

Newly adopted SEC rules concerning (i) business conduct standards, (ii) the designation of a chief compliance officer for security-based swap dealers and major SBS participants, and (iii) their cross-border application and substituted compliance were published in the Federal Register.

The MSRB proposed amendments to its uniform practice rule on close-out procedures for municipal securities.