FINRA proposed changes to its arbitration procedures to expand a customer's options related to withdrawing arbitration claims in the event that a firm or associated person becomes inactive before a claim is filed or during a pending arbitration.

The SEC named Brett Redfearn as the new Director of the Division of Trading and Markets.

In a letter to the SEC, the MSRB identified areas of concern that could have detrimental effects on retail investors.

The SEC Division of Investment Management granted no-action relief to a real estate investment trust from enforcement action in relation to certain subsidiaries utilizing a registration exclusion.