A broker-dealer settled FINRA charges for violating the custody rule and for inadequate disclosures on research reports.

Based on an analysis of publicly available information, the CFPB's Office of Minority Women and Inclusion found that "as expected," smaller institutions had fewer diversity and inclusion programs and policies, while larger depository institutions "consistently outperformed" all other institutions in diversity initiatives.

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.