The Office of the Comptroller of the Currency updated its supervisory expectations on the risk management of commercial loans to companies in early or late stages of corporate development.

The Securities and Exchange Commission’s Crypto Task Force will hold a Roundtable on Financial Surveillance and Privacy on December 15, 2025.

The Securities and Exchange Commission agreed to modify final judgments against investment firms that were part of a 2003 and 2004 Global Research Analyst Settlement regarding potential conflicts of interest between equity research analysts and investment banking personnel.

FINRA amended its transaction reporting requirements to permit firms acting as both broker-dealers and investment advisers to report allocations to managed accounts using a simplified, aggregated method.

A broker-dealer settled FINRA charges for failing to maintain required minimum net capital levels and failing to maintain accurate books and records.