Director of the SEC's Office of Municipal Securities Dave Sanchez warned state and local government officials about unregistered municipal advisors engaging in public-private partnership infrastructure project financing arrangements.

A broker-dealer settled SEC charges for Regulation Best Interest violations concerning structured note recommendations.

An investment adviser settled SEC charges for failing to comply with recordkeeping requirements on "off-channel" communications.

The CFTC extended no-action relief for certain swap dealers domiciled in the United Kingdom and the European Union from capital and financial reporting requirements.

A firm settled ​​​​​​​multiple FINRA charges in connection with its sale of private placements, including for failing to maintain adequate supervisory systems to ensure compliance with the firm's suitability and best interest obligations.