OFAC amended its Terrorism List Governments Sanctions Regulations by removing references to the Government of Sudan and Sudanese nationals.

A firm settled FINRA charges for suitability and supervisory violations related to the sale of non-traditional and volatility-linked exchange traded products.

OFAC extended through June 11, 2021 the authorization for transactions that involve the securities of an entity whose name "closely matches, but does not exactly match" that of certain Communist Chinese military companies pursuant to Executive Orders.

The North American Securities Administrators Association adopted a model act that could serve as a basis for states to offer financial assistance to victims of securities violations who have been awarded restitution but have yet to receive full payment.