FINRA proposed extending the effective date of temporary amendments to provide the FINRA staff with short-term relief from certain enforcement and other procedural requirements while operations are impacted by COVID-19.

A broker-dealer settled FINRA charges for failing to supervise the suitability of its representatives' recommendations to customers on early rollovers of Unit Investment Trusts.

The CFTC awarded approximately $6 million to an individual whistleblower for information provided in connection with a CFTC action.

Assistant Attorney General Brian A. Benczkowski of the DOJ's Criminal Division will step down effective July 3, 2020.

The SEC charged a California penny stock trader for engaging in a COVID-19 testing "pump and dump" scheme.