A firm settled FINRA charges for its failure to properly screen non-registered associated persons for statutory disqualifications.

A Federal Reserve Board final rule to conform the capital planning, regulatory reporting and stress capital buffer requirements to those under the Federal Reserve Board's October 2019 prudential standards framework was published in the Federal Register.

The SEC adopted amendments to electronic filing regulations that specify administrative actions the agency can take to "promote the reliability and integrity of EDGAR submissions."

FINRA's Investor Education Foundation reviewed the types of investment accounts opened during the COVID-19 pandemic and the types of investors who opened them.