In a new report, IOSCO detailed the benefits of establishing "supervisory colleges" for internationally active credit rating agencies.

FINRA amended its rules on reimbursement rates for incurred expenses in processing and forwarding proxy and other issuer-related materials.

A broker-dealer and the firm's president and chief compliance officer settled NYSE American charges for improper use of error accounts, and discretionary transaction, recordkeeping, supervision and control violations.

The SEC approved a proposed rule change allowing multiple CBOE exchanges - BYX, BZX, EDGA and EDGX - to offer their members "Hard to Borrow List" functionality, that users may elect to apply to their short sale orders in U.S. equity securities.

Forty-four state financial regulators settled charges against over 400 mortgage loan originators for false claims on the completion of state and federal annual continuing education requirements.