The SEC approved CME rule changes lowering the margin that customers must post to trade single-stock futures.
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FINRA has proposed broadening the exception to the principal-approval rule to cover all bulk orders by investment advisers, regardless of when allocation instructions are received, not just those received by the end of the trade date.
Swedbank settled New York Department of Financial Services claims that it misled the regulator by hiding information about its Panama Papers connections.
The SEC proposed "Regulation E-Delivery," which would allow regulated entities to make electronic delivery their default method of disseminating information.
The Federal Reserve, the FDIC, and the OCC have committed to a coordinated approach to identifying, handling, and protecting highly sensitive information requested during bank examinations.