The SEC created an "Event and Emerging Risks Examination Team" under the Office of Compliance Inspections and Examinations.

A broker-dealer settled FINRA charges for failing to detect suspicious trading activity, file suspicious activity reports, and implement its own anti-money laundering procedures.

FINRA proposed rule amendments to extend from July 31, 2020 to an indefinite future date, relief for the self-regulatory agency from certain enforcement and other procedural requirements.

FINRA extended the effective date from June 1, 2020 to August 3, 2020 for amendments to Trade Reporting and Compliance Engine requirements.

A cookware coating manufacturer settled potential OFAC civil liability stemming from apparent violations of the Iranian Transactions and Sanctions Regulations.