A broker-dealer settled FINRA charges for failing to review the suitability of investment recommendations in non-traded Real Estate Investment Trusts and for failing to timely respond to relevant customer complaints.

FinCEN said that ransomware attacks continue to pose a significant threat to the soundness of critical U.S. infrastructure.

FINRA issued guidance on developing or modifying succession plans for individual registered representatives in the event of retirement, death, disability or illness.

SEC Chair Gary Gensler warned that any company engaging in misconduct that harms investors will face severe consequences.

A brokerage firm settled NYSE Arca, Inc. charges for failing to report OTC options positions to the Large Options Position Reporting system.