The SEC and the CFTC each awarded almost $2 million to whistleblowers for providing information that helped them bring successful actions.

The Managed Funds Association and the Alternative Investment Management Association recommended modifications to the SEC's proposal on the use of derivatives by registered investment companies and business development companies.

US Regulatory Intelligence expanded its banking materials to include Comptroller enforcement actions.

US Regulatory Intelligence expanded its banking materials to include all Federal Reserve Board enforcement actions.

A broker-dealer settled FINRA charges for failing to amend its Form 4 Registration and Transfer Application and failing to maintain a supervisory system designed to ensure timely disclosure of reportable events.