The National Whistleblower Center urged the SEC to extend the comment deadline on a proposal amending SEC whistleblower program rules.

The U.S. District Court for the District of Nebraska granted a motion for the class certification of a claim for damages against a broker-dealer for mishandling customer orders.

The MSRB published FAQs relating to the use of municipal advisory client lists and case studies. The MSRB also requested comment on a draft compliance resource on the use of advertisements by municipal advisors.

FINRA summarized disciplinary actions against firms and individuals from August 20 to September 19, 2018. The summary includes actions taken by FINRA for violations of FINRA rules, MSRB rules, and federal securities laws and rules.

Richard H. Clarida was sworn in as a member and as Vice Chair of the Board of Governors of the Federal Reserve System.