Senate Banking Committee Ranking Republican Tim Scott called for a complete withdrawal and re-proposal of the Basel III Endgame framework; House Financial Service Committee Democrats applauded Fed Vice Chair for Supervision Michael Barr's announcement that he will recommend a re-proposal of the rules.

A firm settled FINRA charges for failing to maintain an anti-money laundering compliance program designed to detect and report suspicious transactions involving low-priced securities.

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.