A broker-dealer agreed to settle state charges concerning supervisory deficiencies that resulted in the sale of unregistered, non-exempt securities to customers.

In newly revised Sanction Guidelines, FINRA instructed adjudicators to consider a respondent's arbitration history when imposing sanctions in customer-initiated arbitrations.

The U.S. Department of the Treasury Office of Foreign Assets Control will allow U.S. financial institutions to process fund transfers regarding several entities placed on the Specially Designated Nationals and Blocked Persons list.

The CFTC Division of Market Oversight clarified the circumstances under which an investor in commodity pools may qualify for disaggregation relief.