A broker-dealer settled charges for failing to reasonably supervise recommendations of Class A mutual fund switches and short-term sales.

FINRA settled charges against an introducing broker for failing to report thousands of large options positions that were held by its clearing firms.

CFTC Acting Chair Caroline D. Pham reported that the agency freed over $25 billion in capital and collateral through regulatory relief in 2025 and eliminated duplicative, unnecessary, and excessive regulatory requirements.

In the new Executive Order, the President directed the Department of Labor, the SEC and the Federal Trade Commission to "increase oversight of and take action to restore public confidence in the proxy advisor industry, including by promoting accountability, transparency, and competition."

The OCC conditionally approved five national trust bank charter applications, including two de novo charters and three conversions from state trust companies.