In separate remarks to the Small Business Capital Formation Advisory Committee, SEC Chair Gary Gensler and Commissioners Hester M. Peirce and Mark T. Uyeda highlighted the growth in crowdfunding and angel investing and praised these alternative methods of capital raising.

A firm settled FINRA charges for failing to obtain locates for short sales, mismarking short sales and failing to maintain accurate books and records.

SEC Commissioner Hester M. Peirce criticized the expanding regulatory scope of the SEC. She argued that the current trend of imposing bank-style prudential regulation on capital markets is misaligned with the fundamental nature of capital markets.

In a regulatory filing, a cryptocurrency trading company reported that it had been informed by the SEC of a "preliminary determination" that its trading activities in cryptocurrencies were possible securities law violations.

The Office of the Comptroller of the Currency, Federal Deposit Insurance Corporation, Federal Housing Finance Agency and National Credit Union Administration proposed a rule to prohibit incentive-based compensation arrangements that encourage risks by a covered institution.