The SEC released updated plans for two roundtables addressing market-structure reforms and digital-asset privacy.

A firm settled FINRA charges for inadequate risk-management controls and related supervisory failures.

A firm settled FINRA charges for improper aggregation-unit netting and related supervisory failures.

The American Bankers Association and state bankers associations from all 50 states urged congressional leaders to advance two bipartisan bills that would increase Bank Secrecy Act reporting thresholds.

In a no-action letter, the SEC Division of Trading and Markets permitted Personal Services Entities owned by registered representatives to receive transaction-based compensation without registering as broker-dealers.