The MSRB extended the date for compliance with amendments to MSRB Form G-32 covering disclosures of primary offerings.

A broker-dealer settled FINRA charges for failing to provide customers with required annual notifications and other information on customers' trades and order routing information.

The SEC issued an order permitting smaller broker-dealer firms an additional 30 days for filing annual reports.

A private company offering digital currency payment processing settled its potential civil liability for alleged violations of numerous sanctions programs.

The MSRB reminded brokers, dealers and municipal securities dealers of an upcoming March 31, 2021 compliance date concerning fair dealing obligations of underwriters to issuers.