Regulators fined firms a total US$549 million for record-keeping failures
SEC orders massive award for tips that led to multiple enforcement actions
Offshore stock trades came alongside previously-sanctioned options trades
Compliance reviews exposed gaps in firms' anti-money laundering controls
Regulator insists cryptoassets were securities, despite efforts to skirt that designation
The rule encompasses third-party apps
Proposed rules would require firms to identify and combat conflicts built into technologies
New rules increase minimum liquidity requirements and prohibit "gates"
FINRA expels firm; SEC, DoJ charge broker for exploiting vulnerable investors
U.S. SRO aims to enable more efficient oversight as reps continue to work from home