FINRA proposed amendments to rules on "financial exploitation of specified adults" that would permit a broker-dealer to impose a longer hold period on a senior investor's account.

The SEC charged cybersecurity entrepreneur John McAfee for recommending several initial coin offerings to his social media followers without disclosing the compensation he received for promoting the offerings.

In a new staff report, the SEC Division of Economic and Risk Analysis considered the interconnections among six separate U.S. credit markets, and how three distinct types of stresses in each of the markets affected the products and participants during the COVID-19 pandemic.

New York State Department of Financial Services Superintendent Linda A. Lacewell described how the agency is supporting state initiatives to combat climate change and continued to urge the insurance industry to factor these financial risks into management, operations and business strategies.

The MSRB proposed updates to its by-laws to reflect recent amendments to MSRB rules on membership and governance.