FINRA, the North American Securities Administrators Association and SEC Office of Investor Education and Advocacy staff provided joint guidance as to the heightened risk of financial exploitation associated with social isolation.

FIA highlighted key priorities and encouraged President Biden to take action to promote global market access, regulatory harmonization, smart innovation and sustainability.

In a series of Notices, NFA reminded member firms, by type, of their regulatory obligations based on common examination deficiencies.

The Congressional Research Service explored the impact of the Biden Administration's regulatory freeze on the OCC's publication of its finalized Fair Access Rule.