The SEC raised the exemption threshold for broker-dealers required to comply with certain risk assessment reporting and recordkeeping obligations.

The SEC Office of the Investor Advocate communicated its FY2021 priorities for protecting and promoting the interests of retail investors.

FINRA filed with the SEC a proposed rule "to create a uniform, national standard to govern registered persons holding positions of trust."

The New York Department of Financial Services reminded banking institutions of recent amendments to the New York Community Reinvestment Act that require additional information on activities with respect to minority- and women-owned businesses.

A registered futures commission merchant settled CFTC charges for failing to supervise accounts and for missing "indications" that an introducing broker was defrauding customers.