The Financial Action Task Force added three annexes, each addressing a distinct aspect of national risk assessment design and implementation, to its "Money Laundering National Risk Assessment Toolkit."

The SEC issued an Order granting temporary exemptive relief from several upcoming compliance dates under Regulation NMS amendments related to minimum pricing increments, access fees and timing for determination of exchange fees and rebates.

A firm settled FINRA charges for failing to provide customers with complete market data displays and related supervisory deficiencies.

A firm settled FINRA charges for failing to maintain adequate supervisory procedures over variable annuity recommendations and hiring practices.

A federal district court paused enforcement of the Consumer Financial Protection Bureau’s Personal Financial Data Rights Rule.