FINRA reminded member firms that FINRA rules establish minimum disclosure and other requirements as to mandatory arbitration provisions in customer agreements.

A former registered research analyst and representative settled FINRA charges for engaging in insider trading.

A broker-dealer settled FINRA charges for failing to implement an AML program tailored to the broker-dealer's retail business.

A firm settled FINRA charges for placing bids that were well under market value in response to bid-wanted auctions or requests for quotes in municipal securities, thereby failing to exercise its best judgment in determining the fair market value of the securities.

FINRA issued new guidance clarifying reporting requirements on margin accounts.

A firm settled FINRA charges for failing to calculate customer reserves accurately.

A firm and its principal settled FINRA charges for failing to establish an adequate AML program and a supervisory system.

A firm settled FINRA charges for failing to reasonably supervise a representative's alternative investment recommendations for certain customers.

FINRA reminded members of their obligations regarding (i) the performance of due diligence on customers seeking to open trade options, (ii) the supervisory reviews of options accounts and (iii) margin requirements for options.

A firm settled FINRA allegations for charging excessive commissions on certain transactions in equity securities, in violation of FINRA's "5% policy" around markups.

A firm settled FINRA charges for failing to establish a supervisory system designed to monitor employees' outside brokerage accounts.

FINRA proposed extending relief on fulfilling the qualification examination requirements for operations professionals and supervisory principals.

FINRA proposed a rule change that would extend from April 30, 2021 to August 31, 2021 the expiration date for temporary amendments that (i) provide relief to FINRA staff from certain enforcement and procedural requirements and (ii) allow virtual hearings.

A firm settled FINRA charges for failing to (i) properly designate personnel as either public side or private side, (ii) reasonably supervise communications between them and (iii) escalate communications that disclosed potential material nonpublic information.

A firm, its chief compliance officer and one of its supervisors settled FINRA charges for supervisory failures relating to unsuitable recommendations made by one of the firm's representatives.

Three firms settled separate but similar FINRA charges for failing to reasonably supervise recommendations by an "alternative" mutual fund.

A firm settled FINRA charges for incorrectly and inadequately reporting Treasury transactions to the Trade Reporting and Compliance Engine.

FINRA warned member firms of an increase in new online brokerage accounts engaged in fraudulent Automated Clearing House "instant funds" transactions.

FINRA clarified its interpretations for margin rules on counting day trades and pattern day trading.

A firm settled FINRA charges for inadequate written supervisory procedures and failing to make timely private placement filings.

FINRA reminded its members of their ongoing obligations during times of market volatility, obligations which include duty of best execution, proper disclosures, adjustment of margin requirements and strong liquidity management.

A firm settled FINRA charges for selling variable annuities without properly implementing the firm's written supervisory procedures on recommendations and sales.

FINRA proposed extending until October 20, 2021 a pilot program that governs the review of "clearly erroneous transactions" in exchange-listed securities.

FINRA requested comment on proposed amendments intended to clarify the application of margin requirements to "when issued" and other extended settlement transactions.

FINRA adopted new rules to "address brokers with a significant history of misconduct and the broker-dealers that employ them."