FINRA updated guidance on reporting requirements for firms that are engaged in fractional share trading.

An education consulting firm settled SEC charges for acting as an unregistered municipal advisor when it provided advice to charter schools on the issuance of municipal securities.

The Structured Finance Association cautioned that a mandatory 10% ceiling on credit card interest rates would destabilize securitization markets and reduce credit access for consumers.

The SEC requested comment on 24X National Exchange LLC's ("24X") adoption of a rule establishing a mechanism for identifying "Retail Orders" and qualifying members as "Retail Member Organizations" for the purpose of tracking retail order flow.

The SEC proposed to survey broker-dealers and mutual funds on the costs associated with Anti-Money Laundering and Countering the Financing of Terrorism compliance.