NFA warned member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from NFA staff.

The Federal Reserve Bank of New York named Naureen Hassan first vice president and chief operating officer, effective March 15, 2021.

A firm settled FINRA charges for failing to exercise reasonable diligence to ensure that it routed customer orders through venues that provided the best execution quality.

A firm settled FINRA charges for its failure to "reasonably tailor" its AML program for its "low-priced securities liquidation business."

FINRA proposed amendments to allow firms to use electronic signatures when filing Form U4 applications for securities industry registration or transfer.