SEC Chair Gary Gensler criticized "those who seek to reduce information available to investors," including crypto industry participants who attempt to avoid registration and required disclosure requirements.
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The Federal Reserve Bank and the Office of the Comptroller of the Currency fined a bank for failing to monitor firm and client trading activities.
A firm settled FINRA charges for improperly programming trading algorithms, which resulted in orders being improperly sent to the market.
An SEC and CFTC joint final rule adopting amendments to Form PF will go into effect on March 12, 2025. The final rule was published in the Federal Register.
A firm settled with FINRA for charging unfair prices in corporate and municipal bond transactions and for failing to establish and maintain a supervisory system reasonably designed to achieve compliance with its fair pricing obligations.