The SEC adopted rules establishing new governance requirements aimed at reducing the likelihood that conflicts of interest influence a clearing agency's board of directors.

FINRA proposed amendments to its rules to allow members to project the performance of, or provide a targeted return regarding, security or asset allocations.

The New York Department of Financial Services finalized guidance on listing and delisting virtual currencies for New York-regulated entities engaged in virtual currency businesses.

A broker-dealer settled charges with FINRA for failing to monitor and supervise transmittals of customer funds to third parties.

A broker-dealer settled charges with FINRA for failing to take net capital charges on loans for which the broker-dealer acted as the guarantor.