In response to proposed rule changes to reduce trade reporting time frames, the Financial Information Forum and the Investment Company Institute recommended that FINRA and MSRB provide additional exceptions to the application of any reduced reporting times.

The House Financial Services Committee, Subcommittee on Financial Institutions and Monetary Policy, considered testimony on whether the Federal Reserve should limit or expand its function as lender of last resort.

The Congressional Research Service reviewed the Policy debates over rebates that retail brokerage firms receive for directing retail investor stock trades to certain venues, known as "payment for order flow."

A broker-dealer settled SEC charges for failing to comply with Regulation Best Interest in connection with recommendations to retail brokerage customers purchasing mutual fund shares in their IRAs.

The SEC updated its guidance on investment adviser marketing since the adoption of the "Marketing Rule".