In a new report, SIFMA continued to object to a FINRA-proposed amendment that would hold industry members liable for a Consolidated Audit Trail system breach.

The SEC issued an award of more than $9.2 million to a whistleblower who provided original information to the SEC that led to two successful related actions by the DOJ.

A broker-dealer settled FINRA charges for failing to establish controls and supervisory procedures reasonably designed to ensure compliance with the Market Access Rule.

SIFMA, the American Bankers Association and the Financial Services Forum urged the Federal Reserve Board to extend a temporary interim final rule amending the Supplementary Leverage Ratio.