NFA proposed amendments to its branch office interpretative notice that would modify the definition of "branch office" to exclude certain locations that are a part of a hybrid work-from-home environment.

NFA proposed (i) an interpretive notice to clarify swap dealer reporting requirements with respect to initial margin model performance and (ii) the imposition of a late fee of $1,000 per business day if filings, including those related to initial margin model performance, are late.

An Arkansas-based broker-dealer, often serving as an underwriter, and its former CEO settled SEC charges for fair dealing violations arising from a municipal bond tender offer.

A broker-dealer settled FINRA charges for failing to adequately supervise and keep records for one of its registered representatives' private securities transactions.