A broker-dealer settled FINRA charges for failing to correctly indicate short sale identifiers when reporting to the FINRA/Nasdaq Trade Reporting Facility and OTC Reporting Facility.

A broker-dealer settled FINRA charges for failing to ensure intermarket sweep orders were routed to the correct market centers.

The SEC Office of Investor Education and Advocacy warned investors of risks associated with extended-hours trading.

Acting Comptroller of the Currency Michael J. Hsu called for the revitalization of Community Development Financial Institutions and Minority Depository Institutions, highlighting their important role in providing capital, credit, loans and other banking services to minority and low-to-moderate-income communities.