The MSRB requested comment on a potential initiative to enhance the transparency of the municipal securities market by collecting "pre-trade data for certain municipal securities from brokers, dealers, and municipal securities dealers and other entities."

A firm settled SEC charges for anti-money laundering compliance deficiencies related to its Customer Identification Program and Customer Due Diligence obligations.

A firm settled SEC charges for failing to address "known material vulnerabilities" in its algorithmic investment model process and related supervisory deficiencies.

Nine investment advisers and two broker-dealers settled SEC charges for failing to comply with recordkeeping requirements on "off-channel" communications.

Three former bank senior executives settled OCC charges for widespread and systemic sales practices misconduct. The OCC found that the executives oversaw "unsafe or unsound" bank practices that led to unauthorized accounts, unauthorized transfers of customer funds and falsified customer information.