FINRA reminded firms of their obligations under current regulations and guidance on best execution and payment for order flow.
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The DOL reopened the comment period on proposed amendments that would remove references to credit ratings from six class prohibited transaction exemptions.
An initial coin offering issuer and its CEO settled SEC charges for conducting an unregistered offering and sale of digital asset securities, and for making materially false and misleading statements.
The U.S. Supreme Court held that (i) the President of the United States can remove the Federal Housing Finance Agency director for any reason and (ii) the FHFA can continue to collect profits from Fannie Mae and Freddie Mac, for which it has served as a conservator since the 2008 financial crisis.
At a London City Week conference, SEC Chair Gary Gensler highlighted recent requests to staff for recommendations on public company disclosure as to climate risk and human capital.