FINRA censured and fined a broker-dealer for a compliance program that was not designed to detect suspicious trading in low-priced securities.

SEC Chair Paul Atkins said the SEC will solicit public input on how it should respond to recent changes in the exchange-traded fund market, including the emergence of novel products such as event contract ETFs.

The Federal Financial Institutions Examination Council proposed the first substantive revisions to the Uniform Financial Institutions Rating System, known as CAMELS, in nearly 30 years.

The CFTC's Division of Enforcement adopted a new cooperation policy that defines when the Division will decline to recommend an enforcement action and sets the penalty reductions available to parties that self-report misconduct, cooperate, remediate, and pay restitution.

President Trump issued an Executive Order directing the Treasury Department and federal banking regulators to tighten bank customer due diligence rules on "non-work authorized populations and their employers."