Comments on an SEC proposal to establish new governance requirements for clearing agencies are due by October 7, 2022.

The SEC Division of Examination identified common compliance deficiencies found during examinations of municipal advisors.

A broker-dealer settled FINRA charges for failing to disclose to investors that certain issuers of securities offerings failed to timely file audited financial statements with the SEC.

The FDIC warned supervised institutions against charging multiple non-sufficient funds fees on the same transaction.

FTC requested comment on "whether it should implement new trade regulation rules or other regulatory alternatives" to protect consumer data.