A broker-dealer settled SEC claims that it sent the agency incomplete and inaccurate trading-data reports (electronic blue sheets) for years.

The SEC asked for public comment on exchange-traded funds that invest in innovative asset classes or use novel strategies.

The CFTC and the SEC set a comment deadline of August 31, 2026, on their joint request for comment on allowing further portfolio margining and cross-margining of securities and derivatives.

A broker-dealer settled FINRA claims that its AML program was insufficient and that it lacked risk-based procedures for conducting ongoing customer due diligence.

The Supreme Court ruled that Federal Reserve Governor Lisa Cook could remain in office while her legal fight over President Trump's attempt to fire her continues.