The North American Securities Administrators Association examined issues of diminished capacity and cognitive impairment that impact financial professionals.

The CFTC voted to approve the adoption of a final rule establishing capital requirements for swap dealers and major swap participants.

A broker-dealer settled FINRA charges for failing to accurately calculate its net long position, leading to an over-tender of shares in excess of its net long position in a partial tender offer.

A broker-dealer settled FINRA charges for failing to (i) exercise reasonable diligence to ensure the best market for the execution of customer orders and (ii) conduct transactions in such a market to ascertain that resultant prices were "as favorable as possible under prevailing market conditions."

A CFPB final rule amending regulations on payday, vehicle title and high-cost installment loans was published in the Federal Register.