SEC Chair Paul Atkins attributed the decline in initial public offerings of small/medium sized companies to decades of cumulative rulemaking that made the process of going public - and remaining public - more burdensome than beneficial.

The SEC approved a FINRA amendment to replace its "current day trading margin provisions with a modern intraday margin standard."

FINRA sanctioned a former former associate for serving as a board member and treasurer of an outside for-profit streaming platform without providing prior written notice to his member firm.

The United States and the CFTC sued New York State to block it from applying state gambling laws to event contracts traded on CFTC-regulated exchanges.

The OCC issued an interim final rule and an interim final order - asserting that federal law preempts the Illinois Interchange Fee Prohibition Act from prohibiting banks and card networks collecting interchange fees on the tax and gratuity portions of card transactions.