The Office of the Comptroller of the Currency released an international peer review showing improvement in the agency's supervision of national banks and federal savings associations.

The SEC Division of Corporation Finance waived the disqualification of a firm from "ineligible issuer" status, as defined in Securities Act Rule 405. The waiver was required by the settlement of a recent SEC enforcement action related to misleading clients about prices for foreign currency exchange trades.

A FINRA Foundation survey of U.S. investors revealed that more than half of the respondents use financial professionals, but their knowledge of investment concepts is deficient and generational divides exist.

SIFMA argued that the proposed rules establishing fees for various exchange trading and execution services, including connectivity to market data feeds, violate the Securities Exchange Act.

The SEC named Dr. Narahari Phatak, Associate Director for Policy in the Division of Economic and Risk Analysis .