In remarks to the American Bar Association Banking Law Committee, Comptroller of the Currency Jonathan V. Gould argued that the current framework for bank resolution planning is both legally questionable and, as a practical matter, ineffective.

A firm settled FINRA charges for conducting a securities business while failing to maintain required minimum net capital and for filing inaccurate financial reports and notices.

A firm settled FINRA charges for supervisory failures on low-priced securities transactions, related suspicious activity reporting and the creation and dissemination of statements of held away assets.

Federal Reserve Vice Chair for Supervision Michelle W. Bowman reviewed recent supervisory and regulatory reforms and shared her views on current monetary policy.

The SEC approved an amendment to the National Market System Plan Governing the Consolidated Audit Trail to eliminate the requirement for the Central Repository to collect and store a customer's personally identifiable information.