In bulletins updating examination procedures, the Office of the Comptroller of the Currency ("OCC") "eliminate[d] mandatory examination activities not required by statute or regulation to reduce supervisory burden for community banks."

The Investment Company Institute ("ICI") outlined operational considerations for launching an exchange-traded fund ("ETF") share class within an existing mutual fund portfolio.

SIFMA executives urged the SEC to treat the upcoming Consolidated Tape Plan fee filing as an opportunity for reforming the U.S. consolidated equity market data system.

A firm settled FINRA charges for failing to file required private placement offering documents.

FINRA suspended a broker for charging personal expenses to firm accounts.