In its October disciplinary report, FINRA recapped actions against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities laws and rules.
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AT&T Mobility, LLC settled FTC charges for reducing the data speeds of certain "unlimited" mobile data plans without adequate disclosure.
OFAC updated several general licenses concerning Venezuela and the Turkish invasion of Syria.
The CFTC approved (i) three foreign board of trade applications submitted by European entities and (ii) technical corrections to consumer data privacy rules.
The SEC proposed amending advertising and solicitation rules under the Investment Advisers Act.