In a Risk Alert, SEC staff offered guidance based on deficiencies and weaknesses observed during exams of registered investment companies and their advisers' compliance programs.

NASAA requested comment on proposed amendments to its model "Business Conduct" rule to "incorporate the core principles of Regulation Best Interest."

Cboe Global Markets and Nasdaq, Inc. challenged recent SEC rules to reduce the minimum pricing increments for certain securities, lower access fee caps and increase market transparency requirements.

A firm settled FINRA charges for market access risk management control and supervision failures.

The Treasury Department adopted a rule to expand the jurisdiction of the Committee on Foreign Investment in the United States to include transactions conducted by foreign persons involved in real estate transactions near military installations in the United States.