SEC Commissioner Kara Stein shared her views on key issues affecting the U.S. capital markets.

FINRA and the MSRB issued guidance on new confirmation disclosure requirements that apply to transactions with retail customers in corporate debt, agency debt and municipal securities.

FINRA expanded the scope of Trade Reporting and Compliance Engine reporting to include most secondary market transactions in U.S. Treasury Securities.

The SEC charged a research scientist with insider trading based on allegations that he traded on confidential information obtained from his wife.

At the nonpartisan Economic Club of New York, SEC Chair Jay Clayton highlighted the guiding principles behind his regulatory agenda.