The SEC named several new members to the Financial Accounting Standards Board and Financial Accounting Foundation.

The FINRA National Adjudicatory Council affirmed findings against a broker-dealer firm and its general securities representatives for violating short sales regulations and failing to comply with AML requirements.

The CFTC Division of Swap Dealer and Intermediary Oversight granted relief to a limited purpose swap dealer from certain initial margin calculation requirements.

A broker-dealer firm settled FINRA charges for failing to update its representatives' Uniform Application for Securities Industry Registration to disclose bankruptcies and outstanding liens.

The SEC approved amendments to provide additional exemptions under FINRA rules governing restrictions on the purchase and sale of initial equity public offerings and new issue allocations and distributions.