A firm settled FINRA charges for suitability and supervisory violations related to the sale of non-traditional and volatility-linked exchange traded products.

OFAC extended through June 11, 2021 the authorization for transactions that involve the securities of an entity whose name "closely matches, but does not exactly match" that of certain Communist Chinese military companies pursuant to Executive Orders.

The North American Securities Administrators Association adopted a model act that could serve as a basis for states to offer financial assistance to victims of securities violations who have been awarded restitution but have yet to receive full payment.

In its Spring 2021 Semiannual Risk Perspective report, the OCC concluded that while banks maintained "sound capital and liquidity levels in 2020," the combination of low interest rates and limited demand for loans continues to stress bank profitability.

Treasury reported that it "has not identified any foreign financial institution that has knowingly conducted a significant transaction" with previously identified sanctioned foreign persons pursuant to the Hong Kong Autonomy Act.