A wealth management firm settled NYSE charges for failing to reasonably design market access controls to prevent entry of erroneous order management systems.

SIFMA Asset Management Group supplemented its criticism of the SEC's proposal to impose extensive additional regulation of private fund advisers.

OFAC amended a general license authorizing transactions related to energy under Russia sanctions regulations.

Three affiliated investment advisers settled SEC charges for making false and misleading statements in their Form ADV filings about the cash component of their robo-adviser services.

An introducing broker settled FINRA charges for failing to capture, review and retain business-related electronic communications that were sent and received through representatives' personal cellular telephones via a third-party instant messaging service.