The SEC Office of the Investor Advocate communicated its FY2021 priorities for protecting and promoting the interests of retail investors.

FINRA filed with the SEC a proposed rule "to create a uniform, national standard to govern registered persons holding positions of trust."

The New York Department of Financial Services reminded banking institutions of recent amendments to the New York Community Reinvestment Act that require additional information on activities with respect to minority- and women-owned businesses.

A registered futures commission merchant settled CFTC charges for failing to supervise accounts and for missing "indications" that an introducing broker was defrauding customers.

FINRA provided extensions for the completion of qualifying examinations and firm certifications, and for supervisory control system reports and certain supervisory certifications.