A floor broker settled NYSE charges for market access rule violations related to credit limits, erroneous order controls and improperly providing "market looks" to non-customers for a fee.

A bank settled OCC charges for "unsafe or unsound practices" related to Bank Secrecy Act compliance and for failing to correct previously identified anti-money laundering compliance deficiencies.

A firm settled FINRA charges for allowing three unqualified associated persons to author municipal securities research reports.

A broker-dealer settled FINRA charges for inaccurately calculating net capital when participating in firm commitment securities offerings.

FINRA requested comment on proposed amendments to "rules, operations and administrative processes impacting capital formation."