The SEC Office of Investor Education and Advocacy outlined factors for investors to consider before investing in microcap stocks in the first installment of a 3-part Investor Bulletin.

The CFTC settled charges against an energy company accused of acting as an unregistered commodity trading advisor.

FINRA proposed to amend the FINRA Rule 7600B Series to modify fees and transaction credits applicable to members that use the FINRA/NYSE Trade Reporting Facility.

The Board of Governors of the Federal Reserve System requested comment on its proposal to revise the capital plan and stress test rules for bank holding companies with total consolidated assets of between $50 billion and $250 billion, on-balance sheet foreign exposure of less than $10 billion, and nonbank assets of less than $75 billion. The proposal was published in the Federal Register.

The MSRB made a second request for comments on draft provisions concerning minimum denominations, particularly Draft MSRB Rule G-49 regarding transactions below the minimum denomination of an issue of municipal securities.