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In its February disciplinary report, FINRA recapped actions against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities laws and rules.

In its September disciplinary report, FINRA recapped actions against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities laws and rules.

FINRA released, for the first time, aggregate data on the trading volume of Treasury securities reported to the Trade Reporting and Compliance Engine ("TRACE").

FINRA reminded broker-dealers that provide quotations in the securities of a foreign private issuer to make available specified information upon request to any person that expresses an interest

In its upcoming July 11th meeting, FINRA will consider a proposal to solicit comment via Regulatory Notice on proposed rules and related forms governing funding portals pursuant to Title III of the JOBS Act.

FINRA updated the Supplemental Statement of Income ("SSOI") to conform with SEC rule amendments that "simplify and update certain of the FOCUS reporting requirements for broker-dealers."

The plaintiffs had asserted causes of action for violations of federal securities laws as well as for common law fraud, negligent misrepresentation, and unjust enrichment.

The House Subcommittee on Capital Markets and GSEs recently held a hearing on "Reducing Barriers to Capital Formation".

The International Capital Market Association (ICMA) published the 2015 legal opinions on the Global Master Repurchase Agreement (GMRA), the principal standard agreement used to document repo transactions.

The SEC released its Office of Compliance Inspections and Examinations' (OCIE) 2016 examination priorities, which include such new areas as liquidity controls, public pension advisers...

On February 25, Morgan Stanley disclosed that it had reached an agreement in principle with the SEC staff to pay $275 million in disgorgement and penalties.

The North American Securities Administrators Association ("NASAA") waived Investment Adviser Registration Depository ("IARD") system fees for investment adviser firms.

President Biden nominates Jerome Powell to continue leading Fed, taps Lael Brainard to be Vice Chair. CFTC extends Brexit-related relief to UK entities.

SEC diminishes roadblocks to proxy proposals on social policy. SEC Chair warns of enforcement "without quarter." OCC Acting Comptroller calls for regulation of crypto banking. Financial Services

SEC Commissioner Roisman offers recommendations to improve order handling disclosure. Banking regulators set expectations for managing LIBOR transition.

FinCEN provides relief to FBAR filers affected by natural disasters. Comment deadline set for FINRA-proposed fee for new municipal advisor principal exam.

IMF Senior Executives Warn of Financial Stability Risks Posed by "Crypto Boom." SEC Chair Gensler Directs Staff to Study Complex ETP Risk. MSRB Requests Comment on Draft Compliance Resources for Supervisors.