North American Securities Administrators Association President Mike Rothman argued that the updated Financial CHOICE Act should not be passed in its current form.

FINRA issued additional guidance to member firms on the application of its rules to social media and digital communications.

The SEC charged a former broker with trading unsuitable investment products in the accounts of retail customers.

During a "Senior$afe Training Week," the North American Securities Administrators Association will offer a program to prepare state regulators to teach broker-dealers and investment advisers how to identify signs of the financial abuse of seniors.

The FDIC and the Board of Governors of the Federal Reserve System determined that Wells Fargo "adequately remedie[d]" remaining deficiencies identified in its 2015 resolution plan.