The FTC set an effective date of May 13, 2024 on a final rule amending the "Standards for Safeguarding Customer Information."

A broker-dealer settled charges with FINRA for failing to include required information on customer confirmations for municipal securities transactions.

In a semiannual review of its regulatory policy initiatives, the Federal Reserve Board said that it was taking steps "to enhance the speed, force, and agility of its supervision to reflect lessons learned from the recent U.S. bank failures and its supervision of Silicon Valley Bank."

A broker-dealer settled charges with FINRA for reporting transactions to the Trade Reporting and Compliance Engine without the required "No Remuneration" indicator.

FINRA adopted a short-form application process for SEC-registered non-FINRA member firms that must become FINRA members under recently amended rules.