A firm's Principal/Chief Compliance Officer settled FINRA charges for failing to supervise two registered representatives' on their recommendations of risky products to retail customers.

An unregistered broker settled SEC charges for soliciting and selling unregistered securities to investors.

An accounting firm settled SEC charges for failing to properly audit a mutual fund's valuation of complex derivative assets and for issuing an inaccurate audit report.

President Donald Trump outlined a proactive strategy to aggressively disrupt cyber threats, secure critical infrastructure and achieve superiority in critical and emerging technologies.

The Bank Policy Institute and American Association of Bank Directors urged the Office of the Comptroller of the Currency to fully rescind its heightened risk governance guidelines for insured national banks.