FINRA proposed amendments that would require transactions in TRACE-eligible securities that currently are subject to a 15-minute reporting timeframe to be reported within one minute.

An investment adviser and its CIO settled SEC charges in connection with an alleged scheme to unduly stall the liquidation of assets after two hedge fund clients attempted to redeem their investments.

In a regulatory notice, FINRA reminded member firms of their obligation to monitor for digital signature falsification.

OCC Acting Comptroller Michael J. Hsu encouraged financial institutions to continue investing in cybersecurity risk mitigation efforts, and to collaborate through financial industry joint efforts aimed at information sharing and collective defense.

The SEC Small Business Capital Formation Advisory Committee held a hearing on (i) the capital-raising landscape for small businesses and (ii) secondary liquidity challenges for investors in small and emerging businesses.