FINRA published a report evaluating its arbitrator selection process in a specific arbitration hearing.

The SEC approved a FINRA rule change to make permanent a number of time-limited provisions in its rules that provide for electronic service and filing of documents in disciplinary and other proceedings and appeals.

The SEC approved MSRB amendments to Rules G-19 and G-48 to eliminate the potential for regulatory arbitrage and establish a "uniform standard of investor protection" for transactions in municipal securities by retail investors.

FIA submitted a comment letter questioning the value of certain compliance resource information required to be submitted as part of FCM and swap dealer CCO annual reports.

The FTC charged a retail corporation with failing to take appropriate and effective measures in a timely fashion to detect and prevent fraud in the processing of money transfers sent and received by consumers at store locations.