The SEC reached a $2.5 million settlement agreement with an investment bank charged with causing an issuer to publish a proxy statement that contained materially false and misleading disclosures about a valuation of the issuer.

The SEC proposed rule and form amendments requiring registrants to include hyperlinks to exhibits in their filings, and to submit all filings in HTML format.

FINRA requested comments on proposed rule amendments that would establish an inter-dealer quotation facility for all OTC equity securities.

CFTC Commissioner J. Christopher Giancarlo reprimanded U.S. prudential regulators and the CFTC for ordering swap dealers to meet a contested September 1 deadline for the implementation of margin requirements applicable to uncleared swaps.

The SEC awarded more than $22 million to a whistleblower and announced that it now has granted over $100 million in whistleblower awards.