The SEC amended the clearing agency stress testing framework of the Fixed Income Clearing Corporation and its affiliates, the Depository Trust Company and the National Securities Clearing Corporation. The SEC requested comments on the amendments which were published in the Federal Register and are effective immediately.

A firm's Principal/Chief Compliance Officer settled FINRA charges for failing to supervise two registered representatives' on their recommendations of risky products to retail customers.

An unregistered broker settled SEC charges for soliciting and selling unregistered securities to investors.

An accounting firm settled SEC charges for failing to properly audit a mutual fund's valuation of complex derivative assets and for issuing an inaccurate audit report.

President Donald Trump outlined a proactive strategy to aggressively disrupt cyber threats, secure critical infrastructure and achieve superiority in critical and emerging technologies.