The SEC issued a guide that warns investors against government impersonators who target prior fraud victims. The SEC issued a second guide that warns investors to be wary of false information about "microcap stocks" – low-priced stocks issued by small companies.

The SEC settled charges against the general and assistant managers of California's largest water district for misleading investors in a bond offering about the district's financial condition.

The SEC opened registration for the National Seminar for Investment Company and Investment Adviser Senior Officers.

The SEC issued no-action relief to an open-end registered investment company seeking to operate as an exchange-traded fund owned by another exchange-traded fund.

The Consumer Financial Protection Bureau cited numerous compliance violations in a published summary of recent developments in consumer reporting, debt collection, mortgage origination, remittances, student loan servicing and fair lending.