On an episode of FINRA Unscripted, executives with FINRA's Office of Financial and Operational Risk Policy, and Supervision Risk Monitoring team, described the intent behind recent amendments to FINRA's "Margin Rule."

The Office of the Comptroller of the Currency revised the Comptroller's Handbook on the "regulatory requirements that apply directly to banks in conducting retail nondeposit investment product sales activities."

The MSRB requested comment on proposed rule changes that would require bank dealers to gather and display information about their associated persons municipal securities registration and related examination qualification status.

Two firms settled NYMEX charges for executing "non-bona fide" Exchange for Related Position transactions.

In a Fiscal 2023 Year End review, the Financial Crimes Enforcement Network provided statistics on the collection and use of Bank Secrecy Act data.