House Republicans urged SEC Chair Paul Atkins to delay approving a new funding model for the Consolidated Audit Trail until a comprehensive system review is complete.

A broker-dealer settled NYSE Texas charges for failing to maintain minimum net capital requirements as a result of its undermargined repo transactions with affiliates.

A firm settled separate FINRA and NYSE American charges for failing to comply with market access risk management rules and for failing to reasonably supervise for potentially manipulative trading.

At a Senate Banking Committee hearing on the Financial Stability Oversight Council’s Annual Report, Treasury Secretary Scott Bessent emphasized that economic growth, security, and affordability—not restrictive regulation—should be the primary drivers of financial stability.

A broker settled FINRA charges for agreeing to be named a beneficiary to a customer's life insurance policy without notifying or receiving written approval from his firm.