A broker-dealer settled SEC charges for misleading clients as to trade execution services and transaction costs in the broker-dealer's retail wrap fee program.

The CFPB issued a final rule requiring certain disclosures in connection with remittance transfers.

SIFMA updated its model disclosure documents and drafting guidance to improve municipal security underwriter compliance with updated requirements under an MSRB rule on dealer conduct.

SEC Division of Enforcement Co-Director Steven Peikin described recent efforts to address the heightened risk to investors during the COVID-19 pandemic.

OFAC withdrew a general license which had previously authorized certain activities for an entity that was majority- owned by Venezuela's state-owned oil company.