SIFMA President and CEO Kenneth E. Bentsen, Jr. argued that FINRA must implement targeted reforms to its arbitration forum to prevent undermining the fairness and integrity of the dispute resolution process.

The Office of the Comptroller of the Currency proposed amending its "Heightened Standards" guidelines for large insured national banks and federal savings associations.

A broker-dealer settled FINRA charges for failing to maintain an anti-money laundering program reasonably designed to detect and cause the reporting of suspicious activity and for failing to conduct required customer due diligence.

A broker-dealer settled FINRA charges for failing to comply with its duty of care obligations under Regulation Best Interest regarding unit investment trust recommendations.

The National Credit Union Administration compiled reference material for credit unions to use "when evaluating or performing due diligence on third-party vendors that provide artificial intelligence services."