A broker-dealer settled FINRA charges for best execution and supervisory violations.

SIFMA criticized two proposals to shorten the required reporting time for certain fixed income securities - one by FINRA and the other by the MSRB.

A multiservice broker-dealer firm settled FINRA charges for notification failures in violation of anti-manipulation rules that apply to securities offerings.

FINRA made permanent its pilot program amendments to the rules on clearly erroneous transactions in exchange listed securities.

FDIC Chair Martin J. Gruenberg said that understanding and assessing climate-related financial risk is "a top priority" of the FDIC, but the project remains in the "early stages."