The SEC Office of Investor Education and Advocacy warned investors of potential fraudulent promotions by companies claiming their products or services help stop the coronavirus outbreak.

A jury in the U.S. District Court District of Massachusetts returned a verdict in favor of the SEC, finding that a Massachusetts trader made illegal trades using nonpublic information.

An institutional brokerage firm settled FINRA charges for violating OTC Equity Securities and Trade Reporting and Compliance Engine Reporting rules.

NFA reminded member firms that March 1, 2020 is the compliance date for certain customer information and risk disclosure requirements that apply to cleared swaps.

Four corporations settled FTC charges for misrepresenting their compliance with the EU-U.S. Privacy Shield framework.