A pharmaceutical company agreed to settle SEC charges of selectively disclosing material, nonpublic information to sell-side research analysts.

OFAC designated a Dominican Republic-based drug trafficking organization and its drug kingpin under the Foreign Narcotics Kingpin Designation Act.

The FDIC proposed amending the interest rate restrictions for insured depository institutions that are less than "well capitalized."

In response to an MSRB retrospective rule review, SIFMA recommended clearing up ambiguities concerning ethical standards for financial advisors.

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