An investment adviser settled charges with the SEC for failing to disclose conflicts of interest to clients involving payments received by an affiliated custodian.

A swap dealer settled charges for failing to adhere to "pre-trade mid-market mark" compliance requirements.

An online transportation networking company settled charges with the SEC for failing to disclose a "related person" transaction in which one of its directors assisted in the sale of a large block of private shares worth $424 million prior to the company's IPO.

Senate Banking Committee Chair Sherrod Brown (D-OH) pressed Treasury, the SEC and the CFTC to take further action to remedy disclosure deficiencies associated with digital asset tokens and digital asset platforms.

The SEC charged an alternative investment platform for misleading investors by failing to disclose "critical information" in an asset-backed securities offering.