The New York Attorney General's Office launched an online "Whistleblower Portal" to "attract, engage and protect whistleblowers."

A broker-dealer settled FINRA charges for failing to implement an adequate supervisory system to address short positions in tax-exempt municipal bonds.

The SEC proposal to (i) update the statistical disclosures for bank and savings and loan registrants and (ii) eliminate redundant disclosures was published in the Federal Register.

In its annual Bank Supervision Operating Plan, the Office of the Comptroller of the Currency listed several key areas of focus for FY 2020.

A registered futures commission merchant settled CFTC charges for engaging in prohibited noncompetitive, fictitious wash sales.