The MSRB updated its FAQs for regulated entities concerning COVID-19-related regulatory relief.

A broker-dealer agreed to pay $250,000 to settle various FINRA reporting violations, including failing to disclose its sales compensations on preferred securities transactions to customers.

The MSRB provided additional guidance for regulated entities concerning COVID-19-related regulatory relief.

In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2020.

Two broker-dealers settled separate SEC charges for tendering a number of shares greater than their net long positions while engaging in a partial tender offer for shares of common stock.

The SEC Division of Corporation Finance Office of Mergers and Acquisitions granted no-action relief to an open-end investment company - consisting of five actively managed exchange-traded funds - from requirements under SEA Rule 14e-5, subject to certain conditions.

The SEC granted no-action relief to a Maryland-based real estate investment trust. The relief allows the trust to repurchase shares from its shareholders.

The SEC Division of Corporation Finance Office of Mergers and Acquisitions granted no-action relief to an open-end management investment company from transactions that involve certain securities.

The SEC Division of Corporate Finance granted a Spanish bank exemptive relief from certain tender offer requirements.

The SEC granted no-action relief to an Indian based issuer in order to allow it to conduct a partial tender offer for shares of the company.

The SEC granted no-action relief to an Indian issuer in order to conduct a partial tender offer for shares of the company.

The SEC concept release reviewing the framework for exempt offerings was published in the Federal Register.

The SEC staff granted no-action relief to an Indian issuer, allowing it to conduct a partial tender offer in the United States in accordance with the requirements of Indian law.

The SEC staff provided no-action relief to a Canadian company, allowing it to conduct a tender offer in the United States in accordance with the requirements of Canadian law and exemptions granted from those requirements.

The SEC Division of Corporation Finance granted exemptive relief to two separate exchange-traded funds from requirements under Exchange Act rules prohibiting purchases outside of a tender offer.

SEC Office of Compliance Inspections and Examinations Director Peter Driscoll highlighted key risks facing retail investors caused by bad actors and poor internal controls.

The SEC Division of Corporation Finance granted an exemption Exchange Act Rules on tender offer practices to a company incorporated under the laws of India.

The SEC Division of Corporation Finance granted an exemption to a UK-based company from an Exchange Act rule barring purchases outside of a tender offer.

The SEC Division of Corporation Finance granted exemptions to two exchange-traded funds from Exchange Act rules prohibiting purchases outside of a tender offer.

FINRA identified risk monitoring and examination priorities for 2019.

The SEC Division of Corporation Finance granted an exemption from Exchange Act Rules on unlawful tender offers to a public company incorporated under the laws of India.

The SEC Division of Corporation Finance granted exemptive relief to Mphasis Limited, an Indian company, from Exchange Act rules on tender offer practices.

The SEC updated Compliance and Disclosure Interpretations related to certain cross-border securities offering exemptions.

Subject to certain conditions, the SEC Division of Corporation Finance granted exemptive relief to allow an Indian company to conduct a partial tender offer premised on its required compliance with an Indian law mandating a fixed ten working-day offer period for issuer tender offers.

The SEC Division of Trading and Markets granted the Financial Information Forum and its registered broker-dealer members an exemption from the requirement to issue trade-by-trade confirmations for orphaned fractional share trades.