FINRA fined a firm for failing to disclose required mark-up and mark-down information on retail customer confirmations for corporate debt securities transactions.

Treasury Secretary Scott Bessent defended the Department’s actions regarding its plans to provide billions of dollars in private-sector investment to Argentina.

A firm settled FINRA charges for supervisory failings regarding Customer Relationship Summary forms, outside business activities, email oversight, and customer documentation.

Senate Democrats pressed Special Envoy Steve Witkoff to explain potential ethics violations stemming from his reported retention of cryptocurrency assets linked to a Trump family venture.

The Managed Funds Association supported a recent FinCEN proposal to delay implementation of AML/CFT and Suspicious Activity Reporting requirements for investment advisers and exempt reporting advisers.