A broker-dealer settled SEC charges for making material misrepresentations and omitting facts regarding the firm's handling of specific customer trade orders.

The CFTC filed a Complaint with the U.S. District Court for the Southern District of Florida against several unregistered individuals and companies for conducting two fraudulent schemes involving binary options and digital assets.

FINRA proposed rule amendments to provide the self-regulatory agency temporary relief from certain enforcement and other procedural requirements while operations are impacted by the coronavirus.

The CFPB provided additional guidance and clarification for businesses applying for a loan under the Small Business Administration's Paycheck Protection Program.

A broker-dealer settled FINRA charges for Short-Term Obligation Rate Transparency System reporting and related supervisory failures.