A firm settled FINRA charges for inaccurately reporting hundreds of thousands of fixed-income transactions to TRACE and for related supervisory failures.

At a virtual public meeting scheduled for December 4, 2025, the SEC Investor Advisory Committee will consider a draft recommendation to the Commission on the "disclosure of artificial intelligence’s impact on issuer operations."

House Republicans urged federal banking regulators to rescind agency guidance documents on (i) leveraged lending, (ii) model risk management, (iii) venture funding, and (iv) third-party risk management.

The Office of the Comptroller of the Currency, the Federal Reserve Board, and the Federal Deposit Insurance Corporation issued a proposed rulemaking to revise the Community Bank Leverage Ratio ("CBLR") framework to encourage broader adoption of its use (which is optional) and provide greater flexibility for community banks.

The CFTC’s Market Participants Division confirmed that Futures Commission Merchants may post customer-owned securities with foreign brokers and clearing organizations, even where foreign law requires the transfer of title or a "right of re-use" over those assets.