A broker-dealer settled FINRA charges for conduct failures while acting as a placement agent on behalf of an issuer for a contingency offering of securities.

A broker-dealer settled FINRA charges for reporting inaccuracies and submission failures to the Order Audit Trail System.

The SEC and the FDIC finalized a rule governing the orderly liquidation of "covered broker-dealers."

The Federal Reserve Bank of New York expanded eligibility for firms to act as agents for the Term Asset-Backed Securities Loan Facility.

The DOJ charged a Washington tech executive with Paycheck Protection Program fraud and money laundering.