Randall Guynn, Director of the Federal Reserve Division of Supervision and Regulation, underscored the Fed's commitment to supporting financial innovation and to making supervision more transparent and publicly accountable.

A firm settled FINRA charges for failing to preserve business-related communications sent via unapproved platforms.

SIFMA supported a Nasdaq Stock Market LLC proposal to extend its U.S. equity and exchange-traded product trading hours to 23 hours per day, five days per week.

The Investment Adviser Association urged Congress to adopt a federal preemption framework to harmonize financial data privacy standards nationwide.

A firm settled FINRA charges for failing to timely and accurately submit required anti-market manipulation notifications, related supervisory deficiencies, and inaccurate statements to regulators in a prior Corrective Action Statement.