A broker-dealer settled FINRA charges for exercising a customer's expiring options after the FINRA-designated exercise cut-off time.

The CFPB reopened the comment period on a Request for Information issued to Amazon, Apple, Facebook, Google, PayPal and Square regarding how each firm uses personal payment data and manages data access.

The SEC Division of Corporate Finance staff granted no-action relief to a Canada-based oil company which would allow it to conduct a tender offer in the United States in accordance with Canadian law.

A broker-dealer settled FINRA charges for (i) failing to disclose that various corporate and municipal bonds held by its customers were in default and (ii) failing to deliver a number of required disclosures to its customers.

The SEC opened a new comment period on a FINRA proposal to "treat a private residence at which an associated person engages in specified supervisory activities as a non-branch location."