A firm settled FINRA charges for supervisory and recordkeeping failures related to its automated approval process for self-directed options accounts.

A firm settled FINRA charges for failing to apply the correct suspicious activity report filing threshold.

FINRA suspended two brokers for excessive trading in customer accounts.

The Consumer Financial Protection Bureau asked for comment on the implementation provisions of a rule requiring that financial institutions provide consumer access to their own financial data.

The SEC named Judge Margaret Ryan as the agency’s next Director of the Division of Enforcement.