A firm settled charges with FINRA for failing to correctly report trade information related to municipal and TRACE-eligible securities.

The SEC adopted rule amendments to National Market System regulations to establish minimum pricing increments (i.e. "tick sizes") for the quoting and trading of NMS stocks and to reduce the access fee caps for protected quotations of trading centers.

The OCC adopted rule amendments and a policy statement on procedures for reviewing applications under the Bank Merger Act. The FDIC approved a policy statement on bank merger transactions.

Eleven investment managers settled SEC charges for failing to file forms which require quarterly public disclosure of the equity portfolios of an entity holding at least $100 million in securities assets.

The FDIC proposed new rules to "strengthen the recordkeeping requirements" for custodial deposit accounts with transactional features held at insured depository institutions.