A firm settled FINRA charges for failing to file required private placement offering documents.

FINRA suspended a broker for charging personal expenses to firm accounts.

Federal Reserve economists analyzed the financial stability risks posed by tokenized investment funds.

SIFMA executives warned that while decentralized finance models offer innovative new approaches to trading tokenized securities, regulators must prevent gaps that weaken investor protections and ensure safe integration into U.S. markets.

The Financial Crimes Enforcement Network issued an exemptive relief order postponing the effective date of its final rule establishing anti-money laundering requirements for certain non-financed residential real estate transactions.