Sixteen firms, including investment advisers as well as broker-dealers, settled SEC charges for failures by the firms and their employees to maintain and preserve electronic communications.

In the annual report to Congress of the Financial Stability Oversight Council, Treasury Secretary Janet Yellin touted the resilience of the U.S. financial system in the face of "a wide range of risks, including risks stemming from the commercial and residential real estate sectors and from global geopolitical conflicts and technological developments."

The CFTC Global Markets Advisory Committee advanced eight recommendations to promote access and competition in the U.S. Treasury markets, repo and funding markets and commodity markets.

In a joint final rule, the SEC and CFTC adopted amendments to Form PF that require more information on private funds.

The SEC approved an amendment to MSRB Rule G-12 ("Uniform Practice") to require the completion of allocations, confirmations, and affirmations by the end of trade date for municipal securities transactions.