The town of Oyster Bay, Long Island settled SEC charges of defrauding investors in connection with municipal securities offerings.

An introducing broker, its president and an associated person settled NFA charges of misusing customer block order information in a trading scheme.

The Federal Reserve Board enhanced its examinations process for assessing the safety and soundness of community and regional state member banks.

A money services business agreed to settle potential civil liability for apparent violations of the Global Terrorism Sanctions Regulations.

FINRA staff provided interpretive guidance clarifying that a capital acquisition broker may, under certain conditions, accept equity securities issued by privately held companies as compensation for its services.