In separate settlements, an investment adviser and a broker-dealer resolved SEC charges for failing to manage client portfolios according to agreed-upon limits, resulting in unauthorized exposure, excessive fees and financial losses for clients.

A swap dealer settled CFTC charges for failing to timely report swap transactions.

A broker-dealer settled FINRA charges for failing to comply with Regulation Best Interest and FINRA rules related to mutual fund share class recommendations made to retirement plan customers.

The Inter-Agency Working Group on Treasury Market Surveillance reported progress on efforts to improve the resilience of the US Treasury market, stating it continues to serve as "the deepest and most liquid market in the world and a cornerstone of the financial system."

A broker-dealer settled FINRA charges for failing to comply with best execution obligations, failing to have adequate market access controls in place and failing to maintain a proper anti-money laundering program.