FINRA issued new guidance clarifying reporting requirements on margin accounts.

A firm settled FINRA charges for failing to calculate customer reserves accurately.

The DOL issued guidance on a February 2021 exemption that allows investment advice fiduciaries to receive compensation and engage in certain transactions otherwise prohibited under ERISA and the Internal Revenue Code.

SEC Commissioner Hester M. Peirce offered an updated version of her proposal for a three-year safe harbor from the application of securities laws on the sale and trading of digital tokens.

An online debt-settlement company settled CFPB allegations that the company "steered" consumers toward high-cost loans offered by affiliated lenders and failed to disclose affiliations with creditors.