A broker-dealer settled FINRA charges for failing to properly manage its market access services.

FINRA provided an update of its targeted exam (sweep) focusing on the social media practices firms use to acquire new customers and firms’ privacy notices with respect to customer nonpublic information.

The National Credit Union Administration proposed amendments to its chartering and field of membership rules with the goal of expanding financial services made available to low- and moderate-income communities.

The CFTC established three new subcommittees of the Global Markets Advisory Committee and requested nominations for subcommittee membership.

The CFTC appointed Ian McGinley to serve as the agency's next Director of Enforcement.