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

The SEC issued a waiver to make a CBOE Exchange, Inc. proposal that facilitates electronic options trading on the exchange effective immediately.

The SEC Division of Corporation Finance and Division of Investment Management provided guidance for market participants affected by COVID-19 who may have difficulties complying with federal proxy rules.

The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, compliance dates, effective dates, delayed actions and reporting deadlines.

NFA notified members that it would not pursue disciplinary actions if a firm allows associated persons to temporarily work from home under business contingency plans, provided that the firm institutes adequate supervisory methods and meets its recordkeeping requirements.