House Financial Services Committee Chair Patrick McHenry (R-NC) and Subcommittee Chair Andy Barr (R-KY) asked GAO to evaluate the role played by each federal banking agency in developing new capital standards consistent with the Basel Committee on Banking Supervision.

A broker-dealer that provided execution, clearing and stock lending services settled charges with FINRA and various securities exchanges for allowing several of its employees to operate in roles for which they were not registered.

FinCEN proposed new recordkeeping and reporting requirements for financial institutions that facilitate convertible virtual currency "mixing" transactions.

A broker-dealer settled charges with FINRA for failing to timely report trades and for incorrectly reporting internal transfers as "securitized products transactions" to the Trade Reporting and Compliance Engine and to the MSRB's Real-time Transaction Reporting System.

A broker-dealer settled charges with FINRA for failing to have a supervisory system in place that could reasonably detect potential "spoofing" and "layering."