The MSRB requested comments on a concept proposal requiring municipal advisors to disclose information about the direct purchases and bank loans of their respective municipal entity clients.

The CFTC approved a final rule that establishes an alternative to the fingerprinting requirement for a foreign person who applies for registration with the CFTC as an associated person or the principal of a registered intermediary.

The Investment Company Institute criticized a State of California final feasibility report recommending the establishment of state-run, tax-advantaged, retirement investment plans for workers who do not have access to an employer-sponsored retirement savings plan.

The Federal Reserve Bank of New York published a revised policy regarding the administration of relationships with primary dealers.

The SEC alleged that several firms hacked news services and stole confidential earnings information for publicly-traded companies.