A commercial real estate services and investment firm settled SEC charges for using employee separation agreements containing provisions that discourage potential whistleblowers.

The House Financial Services Committee considered testimony from witnesses on the impact of, and interaction between, recent regulatory banking proposals to implement Basel standards and increase capital requirements.

An online transportation networking company settled charges with the SEC for failing to disclose a "related person" transaction in which one of its directors assisted in the sale of a large block of private shares worth $424 million prior to the company's IPO.

A registered representative reached a settlement with the SEC regarding his failure to report red flags to his firm's AML group in connection with a wire transfer from a customer's account to the account of a relative of that customer.

FinCEN provided guidance for small businesses on filing Beneficial Ownership Information reports. The guidance follows the adoption of reporting requirements under the Corporate Transparency Act.