OFAC updated a general license to authorize certain activities in order to wind down the operations or existing contracts with specific entities.

In anticipation of a January 13, 2020 compliance date for senior syndicate managers to provide certain allocation and net designation information to issuers, the MSRB reminded dealers of previous guidance on the use of electronic media.

SIFMA CEO Kenneth E. Bentsen, Jr. and several trade associations criticized the recently revised Massachusetts Securities Division proposed fiduciary conduct standard.

A broker-dealer settled FINRA charges for best execution failures and "unfair and unreasonable" markups on municipal securities transactions.

ISDA published a guide to the cross-border application of U.S., EU and Japan margin rules for non-cleared derivatives.