A firm settled FINRA charges for failing to conduct reasonable reviews of execution quality and failing to reasonably supervise for best execution.

The SEC adopted final amendments to its rules requiring directors and officers of "foreign private issuers" to disclose their beneficial ownership of, and transactions in, the issuer’s equity securities.

Senate Banking Committee Ranking Member Elizabeth Warren pressed banking regulators to explain whether a Silicon Valley-backed bank, founded by donors to President Trump and the GOP, received expedited approval for a national charter and federal deposit insurance through political connections rather than on the merits of its application.

The Congressional Research Service reviewed how bank–Fintech partnerships are affecting compliance obligations on customer information.

NYSE Texas, Inc. adopted new rules to grant access to the exchange for the "limited purpose of performing underwriting activity as a principal underwriter," while enhancing oversight of the role underwriters play in company listings, and strengthening regulatory authority over such firms.