A broker-dealer settled FINRA charges for failing to qualify and register two associated individuals who supervised customer securities trading activity.

A firm settled FINRA, NYSE American, Nasdaq ISE, Nasdaq Phlx and Cboe Exchange charges for supervisory failures in connection with the Exchange Act's ban on tendering more shares in a partial tender offer than are owned by an individual.

An FTC final rule amending the Commission's requirements for entities using information from customer reports for unsolicited credit or insurance advertising was published in the Federal Register.

FINRA Executive Vice President of Member Supervision Bari Havlik announced she will retire later this year. Greg Ruppert, currently serving as an EVP and leader of FINRA's National Cause and Financial Crimes Detection Program, will succeed Ms. Havlik in the role effective November 1, 2021.

OFAC authorized all transactions on or after January 21, 2022, related to the Petróleos de Venezuela, S.A. 2020 8.5 Percent Bond that otherwise would be prohibited by Executive Order.