The New York Stock Exchange filed a rule change "to permit eligible member organizations to participate in FINRA’s remote inspections program ... and to adopt FINRA’s Residential Supervisory Location classification."

A broker-dealer settled FINRA charges for failing to establish and enforce proper supervisory procedures regarding its registered representatives' outside brokerage accounts.

CFPB Director Rohit Chopra touted the data protections provided by the new Personal Financial Data Rights rule.

A firm settled FINRA charges for failing to conduct adequate independent testing of its AML compliance program.

FINRA amended its rule on borrowing and lending arrangements between registered persons and their customers; the amendments narrow exceptions and establish new procedures for approval of such arrangements.