A broker-dealer settled FINRA charges for net capital deficiencies, failing to notify the SEC or FINRA of the deficiencies in a timely manner, and inaccurate recordkeeping.

In its 2021 Sanctions Review, Treasury recommended steps to improve the use of economic sanctions as a tool for responding to U.S. national security concerns and foreign policy challenges.

The SEC published in the Federal Register FINRA's proposal to extend the pilot period under its rule on "Market-wide Circuit Breakers in NMS Stocks" from October 18, 2021, to March 18, 2022. The extension was designated operative upon filing.

The Republic of Cabo Verde extradited a Colombian national who was indicted for money laundering in connection with an alleged corruption scheme in Venezuela.