FINRA ordered a firm to pay a fine and to compensate customers for material misrepresentations and omissions on variable annuity replacement applications.

The SEC approved an MSRB proposal to amend the definition of "regular-way settlement" for municipal securities.

The SEC requested comments on a FINRA proposal to delay the implementation of its rule concerning debt research analysts and reports.

The North American Securities Administrators Association requested public comment on its proposed policy regarding electronic offering documents and signatures.

The SEC Office of Investor Education and Advocacy offered advice to investors about when to use "stop" and "stop-limit" orders to buy and sell stocks.