Comments on a FINRA proposal to further delay the implementation of margin requirements for Covered Agency Transactions are due by September 6, 2022.

A broker-dealer settled SEC charges for violating Regulation SHO by executing short sale trades through its single-dealer platform without doing proper locates.

A broker-dealer settled FINRA charges for failing to accurately calculate its required customer reserve, which resulted in recordkeeping, reporting, supervision and customer protection rule violations.

Following the issuance of a CFPB interpretive rule that digital marketing service providers are subject to consumer protection regulations, CFPB Director Rohit Chopra warned that "[m]ore and more Americans are experiencing the feeling of being digitally stalked by specific ad content."

A broker-dealer settled FINRA charges for failing to accurately report over-the-counter options positions to the Large Options Position Reporting system and for related supervisory violations.