The SEC awarded $27 million to a whistleblower for providing information that led to a successful enforcement action.

The New York State Department of Financial Services provided temporary regulatory relief for New York-chartered financial institutions concerning (i) conducting in-person meetings and (ii) holding annual stockholder meetings.

The Congressional Research Service reviewed the direct payment provisions under the Coronavirus Aid, Relief, and Economic Security Act.

FINRA issued a new series of FAQs concerning the implementation of FINRA Gateway and the related implications for Firm Gateway.

In its April disciplinary report, FINRA recapped actions against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities laws, rules, and regulations.