The Congressional Research Service examined the regulatory framework for stablecoins and reviewed options for legislators and regulators.

A dually-registered broker-dealer and investment adviser settled SEC charges for AML program failures and resulting Suspicious Activity Report filing failures.

OFAC issued one new General License, published new FAQs and updated an FAQ pertaining to the Syria sanctions program.

The SEC granted exemptive relief to a real estate-related ETF.

A representative settled FINRA charges for excessive and unsuitable trading in a customer's account.

The SEC sued an individual and his investment firm for their roles in defrauding investors through the selling of securities in a California real estate investment and management company.

A small firm settled FINRA charges for failing to conduct annual independent testing of its anti-money laundering program.

​A firm settled FINRA charges for supervisory and late filing violations related to private placements.

The Office of the Comptroller of the Currency revised and updated booklets for the Comptroller's Handbook and the Comptroller's Licensing Manual.

A broker-dealer settled FINRA charges for best execution and supervisory violations, and for failing to disclose material aspects of its relationships with venues.