The Office of Financial Research examined securities-lending activity based on pilot data collected by the OFR, the Federal Reserve System and the SEC.

In response to a request by FINRA, the SEC Division of Trading and Markets granted no-action relief to broker-dealers who post collateral in swaps transactions.

The SEC settled charges against a private equity advisory firm for (i) misleading fund investors about fees and a loan agreement, and (ii) failing to supervise a senior partner who charged personal expenses to the funds.

In a special issue of the Federal Reserve Bank of New York's Economic Policy Review, economists considered culture, governance and behavioral risk management in the financial services industry.

The SEC Division of Investor Education and Advocacy alerted investors to various insurance scams that may arise from recent flooding in and around Louisiana.