A firm settled FINRA charges for failing to establish a supervisory system reasonably designed to ensure compliance with Regulation Best Interest.

FINRA barred a broker for refusing to provide documents requested during an investigation into undisclosed outside investments and trading accounts.

The British American Finance Alliance — a coalition of leading U.S. and UK financial and professional services organizations — outlined a strategic agenda for deepening regulatory, trade, and technological cooperation between the United States and the United Kingdom.

Senate Banking Committee Ranking Member Elizabeth Warren asked Treasury Secretary Scott Bessent to explain the Trump Administration’s reported plans to provide billions of dollars in private sector investment to Argentina.

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