A firm settled FINRA charges for its failure to "reasonably tailor" its AML program for its "low-priced securities liquidation business."

FINRA proposed amendments to allow firms to use electronic signatures when filing Form U4 applications for securities industry registration or transfer.

Office of New York Attorney General Letitia James issued investor and industry alerts warning of the "extreme" risk associated with investment in virtual currencies.

The IOSCO Board approved its Work Program 2021-2022, which includes a study of (i) systemic risk resulting from non-bank financial intermediation, and (ii) risks that were increased by the COVID-19 virus, including fraud and operational challenges.