FinCEN republished certain FAQs that were previously published by the Small Business Administration that clarify how lenders can satisfy their Bank Secrecy Act requirements when issuing Paycheck Protection Program loans.

A firm settled FINRA charges for supervisory deficiencies in relation to the execution of trades in National Market System stock at prices lower than those of a protected bid or higher than those of a protected offer.

In Axon Enterprise v. Federal Trade Commission, the U.S. Court of Appeals for the Ninth Circuit affirmed the dismissal of an action by Axon Enterprises, Inc., arguing that the FTC's administrative enforcement process violated Axon's constitutional rights.

A firm acting as the placement agent for a contingent offering settled FINRA charges for depositing investor funds into a bank account that it established and controlled instead of into an escrow account.

The SEC named John Coates as Acting Director of the SEC Division of Corporation Finance.