The Department of Labor proposed a new safe harbor letting group health plan administrators deliver ERISA-required disclosures electronically, by email or a web portal.

A registered broker-dealer settled Cboe C2 Exchange charges for failing to accurately report large options positions to the regulatory surveillance system in more than 2.7 million instances over more than a decade.

The House Financial Services Committee released a report "Fighting Back," calling for a coordinated national response on financial fraud and scams.

The American Bankers Association urged the SEC to adopt a proposed overhaul of its public company filer status framework, arguing the changes would reduce compliance costs for community bank issuers.

A unanimous Ninth Circuit panel affirmed summary judgment and all remedies against a municipal advisory firm and its principal for entering a prohibited fee-splitting arrangement with a bond underwriter in violation of MSRB rules.