A broker-dealer and its principal settled FINRA charges for failing to sufficiently supervise the suitability of the firm's registered representatives' trading in customer accounts.

A broker-dealer settled FINRA charges for failing to comply with supervisory and recordkeeping requirements.

The CFPB Taskforce on Federal Consumer Financial Law offered recommendations on enhancing consumer protection in the financial marketplace.

An SEC final rule that will adopt a new regulatory framework for fund valuation practices was published in the Federal Register.

OFAC issued new and amended Ukraine-/Russia-related guidance under the Countering America's Adversaries Through Sanctions Act.