The White House has sent a response to the Senate Democrats asserting that they had not provided nominees to serve as potential commissioners at either the SEC or the CFTC.

Federal Reserve Vice Chair for Supervision Michelle Bowman set out her four principles for improving bank regulation and supervision.

The Bank of England, the Prudential Regulation Authority, and the Financial Conduct Authority stated they will begin to oversee "critical third parties" serving the UK financial system.

The Investment Adviser Association ("IAA") reported early lessons from advisers under the SEC's amended Regulation S-P, the data-privacy and data-security rule.

The SEC formally opened a proceeding to determine whether to approve a FINRA proposal to grant an exemption from FINRA Rule 5130 and FINRA Rule 5131(b) to collective trust funds so that the funds may buy shares in initial public offerings.