A financial institution involved in travel-related and credit card services settled OFAC charges for violations of the Weapons of Mass Destruction Proliferators Sanctions Regulations.

FINRA proposed amendments to add Consolidated Audit Trail compliance rules to FINRA’s Minor Rule Violation Plan.

FINRA highlighted recent initiatives aimed at protecting senior investors and addressing related risks, to mark the fifth anniversary of the launch of its Securities Helpline for Seniors.

The Federal Reserve Board revised its Main Street Lending Program to expand the scope of small- and medium-sized businesses eligible to borrow under the programs.

The CBOE Futures Exchange Business Conduct Committee sanctioned two traders, in separate actions, for certain trading rule violations.