The SEC adopted a rulemaking package designed to enhance retail investors' protections when dealing with broker-dealers and investment advisers.

CFTC Chair J. Christopher Giancarlo outlined several principles that guide effective cross-border regulation and provided an update on the status of CFTC cross-border rulemaking.

The Federal Reserve Board, Office of the Comptroller of the Currency and FDIC final rule to modify the agencies' liquidity coverage ratio rule was published in the Federal Register.

A broker-dealer settled FINRA charges related to reporting, recordkeeping and supervisory failures on inaccurate net capital and customer reserve calculations.

The research firm TABB Group will host the Equities 2019 Forum on June 13, 2019 in New York City.