A firm settled FINRA charges for failing to properly supervise certain types of variable annuity transactions and to monitor variable annuity exchanges.

OFAC clarified that prohibitions under an Executive Order addressing the threat from investments that finance Chinese military companies do not apply to Luokung Technology Corp.

A firm settled FINRA charges for reporting short-interest positions that were already reported by its clearing firm.

ISDA published a new U.S. Renewable Energy Certificate ("REC") Annex intended to allow firms to transact in RECs based on standardized product terms in environmental, social and governance areas.