Banking agencies proposed rule amendments to update policies and procedures to allow increased use of electronic communications in administrative proceedings for supervised financial institutions.

A former registered representative settled FINRA charges for removing and retaining nonpublic personal information of about 1,300 customers of the broker-dealer for which he had worked.

FINRA proposed extending temporary Covid-related relief from procedural requirements in FINRA rules, and to conduct certain hearings by videoconference.

SIFMA Executive Vice President and General Counsel Ira D. Hammerman will retire at the end of 2022.