The SEC charged a research analyst with using his mother's brokerage account to engage in insider trading that utilized nonpublic information he learned at work.

The SEC requested comments on a newly published concept release assessing the business and financial disclosure requirements of Regulation S-K.

The SEC adopted new rules that implement the provisions of Title VII of the Dodd-Frank Act concerning (i) business conduct standards, (ii) the designation of a chief compliance officer for security-based swap ("SBS") dealers and major SBS participants, and (iii) the cross-border application of the rules and the availability of substituted compliance.

The CFTC Division of Swap Dealer and Intermediary Oversight granted relief to several commodity pool operators from the annual report filing requirement, and from the requirement that such reports contain an audited annual financial statement.

The Board of Governors of the Federal Reserve System and the FDIC provided firm-specific feedback on the 2015 resolution plans of eight systemically important banking institutions.