At its September 2021 meeting, the FINRA Board of Governors approved a fee proposal "for individuals who choose to complete continuing education to remain qualified for up to five years following the termination of the individual’s registration."

The SEC charged a former senior compliance analyst at an investment bank with trading on material, nonpublic information using his parent's brokerage accounts.

OFAC issued a new FAQ concerning travel and donation transactions related to the Imam Reza Holy Shrine in Mashhad, Iran.

The Cabinet Regulatory Tracker is a list of effective dates, comment deadlines and compliance dates.

A swap dealer settled CFTC charges for disclosure, trade reporting and related supervisory violations.