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A broker-dealer settled FINRA charges for failing to implement surveillance and supervisory procedures concerning certain trading activity by the firm's direct market access clients.

Five firms settled FINRA charges for failing to adequately supervise custodial accounts under the Uniform Gifts to Minors Act and Uniform Transfers to Minors Act.

In a final rule designed to simplify capital requirements for qualifying community banks, the Federal Reserve Board corrected certain instructional errors.