A non-depository state-chartered trust company settled SEC charges for offering and selling investment units through unregistered trust funds.

In separate advisories, FinCEN and OFAC warned financial institutions of the growing prevalence of ransomware attacks and the legal risks of making ransomware payments.

NFA provided relief to members from the requirement to conduct on-site annual inspections of their branch offices and guaranteed introducing brokers.

The CFTC filed charges against five entities and three individuals for owning and operating an unregistered platform for the trading of derivatives on cryptocurrencies.

A broker-dealer settled SEC charges for violating short sale order marking regulations.