The American Bankers Association, the Bank Policy Institute, the Financial Services Forum, the Institute of International Bankers and SIFMA countered the arguments made by Federal Reserve Board Vice Chair Michael S Barr in support of a proposal to implement the Basel agreement.

The District Court of the Southern District of New York issued an Order that partially granted and partially denied summary judgement on the SEC's claim that the various defendants had engaged in unregistered distribution of securities in violation of the Securities Act.

A broker-dealer settled charges with several state securities regulators for charging “unreasonable commissions” to customers on low principal equity transactions.

A broker-dealer settled FINRA charges for overreporting the number of shares associated with its short interest positions.

A digital trading platform settled SEC charges for operating an unregistered exchange that paired purchasers with sellers of securities that are considered "collectible assets."