FINRA urged member firms to vote to fill vacant FINRA District Committee seats that correspond to their districts.

The MSRB Board of Directors will discuss corporate and governance issues at an upcoming meeting scheduled for October 26-27, 2016.

An Israel-based bank agreed to pay $1.6 million to settle SEC charges that it provided investment advice and executed securities transactions for U.S. customers without registering as an investment adviser or broker-dealer.

The Consumer Financial Protection Bureau adopted final amendments to certain mortgage servicing rules issued in 2013. The final amendments were published in the Federal Register.

SEC Chief of Staff Andrew J. Donohue outlined future compliance challenges in remarks to the National Society of Compliance Professionals.