SIFMA criticized the SEC for its decision to extend the applicability of the "Penny Stock Quote" rule, which requires broker-dealers to base public quotations for OTC securities on specified information and to maintain records of that information, to the fixed income markets.

The Committee on Payments and Market Infrastructures and IOSCO analyzed current market participants' access to central counterparties and effective market practices.

SEC Director of Enforcement Gurbir S. Grewal defended the Division's focus on digital assets, denying criticisms that the SEC is regulating digital assets through enforcement or that the SEC is "'picking winners and losers'" or "'stifling innovation.'"

The Federal Reserve Board, FDIC and OCC said they will continue to work towards aligning capital requirements for banks with the final set of "Basel III" standards.

A broker-dealer settled FINRA charges for failing to reasonably respond to red flags of unsuitable use of margin in customer accounts.