The CFTC unanimously approved a substituted compliance framework for dually registered central counterparties located in the European Union.

A recent post on SIFMA's "Pennsylvania + Wall" blog is highly critical of a recently published academic report. SIFMA argues that the report makes "overly broad and inflated claims" concerning levels of misconduct among financial advisors.

FINRA issued a report identifying effective practices that firms should consider when developing and using "digital investment advice tools."

The Cabinet Regulatory Tracker provides a list of significant effective dates, compliance dates, and comment and filing deadlines.

In a recent investor education podcast, FINRA provided five steps to help investors stay focused when the stock market proves rocky.