Trade associations and financial groups responded to a CFTC proposal that would further define requirements on recovery and wind-down plans prepared by derivatives clearing organizations.

A broker-dealer settled charges with FINRA and NYSE Arca for over-tendering shares into partial tender offers.

An investment adviser settled charges with the SEC for failing to disclose conflicts of interest to clients involving payments received by an affiliated custodian.

Six "insiders" of public companies settled charges with the SEC for failing to file reports on their securities holdings and transactions in a timely manner. Five public companies were also charged for contributing to the violations.

The American Investment Council urged FTC to withdraw its proposal to "comprehensive[ly] redesign" the premerger notification form. The Council argued that FTC lacks statutory authority to demand nearly all of the information that would be newly required.