A broker-dealer settled FINRA charges for failing to sufficiently supervise short-term trade recommendations made by one of its registered representatives.

FINRA warned members of a new imposter website that uses a domain name nearly identical to that of FINRA's, but contains an extra "n" (i.e., "finnra").

The Office of Compliance Inspections and Examinations identified compliance issues for broker-dealers and investment advisers resulting from market volatility and operational disruptions due to the COVID-19 pandemic.

SEC Deputy Chief Accountant Marc Panucci will step down from his position at the end of August 2020.

FINRA proposed to eliminate Order Audit Trail System rules once member firms begin reporting to the Consolidated Audit Trail.