The SEC proposed amendments to the national market system plan governing the Consolidated Audit Trail that would (i) increase security requirements for the use of collected data and (ii) reduce the scope of sensitive information required to be collected.

A dually-registered futures commission merchant and retail foreign exchange dealer settled CFTC charges for net capital rule violations.

A bank settled CFPB charges for enrolling customers in an overdraft-protection service using improper sales practices.

NFA recommended that its member futures commission merchants and introducing brokers review FinCEN's recently issued FAQ concerning customer due diligence in order to ensure that their AML programs meet CDD-related regulatory obligations

FINRA warned members about imposter websites that use the names of registered representatives to fraudulently solicit information from potential customers.