U.S. prosecutors indicted the former executive managing director of a hedge fund for investment advisor fraud in connection with certain investments in an African mining company.

The Board of Governors of the Federal Reserve System proposed amending Regulation M, which was issued to implement the Consumer Leasing Act.

FINRA provided guidance to member firms on reviewing and reconciling end-of-year Final Statements in E-Bill.

FINRA notified firms that on February 1, 2018, two new data reports for Trade Reporting and Compliance Engine eligible securities will be made available to subscribers.