The SEC Division of Examination identified common compliance deficiencies found during examinations of municipal advisors.

A broker-dealer settled FINRA charges for failing to disclose to investors that certain issuers of securities offerings failed to timely file audited financial statements with the SEC.

The FDIC warned supervised institutions against charging multiple non-sufficient funds fees on the same transaction.

FTC requested comment on "whether it should implement new trade regulation rules or other regulatory alternatives" to protect consumer data.

SIFMA and SIFMA Asset Management Group criticized the SEC's Request for Information on the activities of "information providers," calling it unnecessary and outside of the jurisdiction of the SEC's authority.