A broker-dealer settled FINRA charges for failing to report certain transactions to Trade Reporting and Compliance Engine in a timely manner.

The MSRB proposed amendments to the content outline for the Series 54 examination and selection specification.

The Chicago Board of Trade Business Conduct and the Chicago Mercantile Exchange Committees fined and suspended multiple traders and companies for varying trade practice violations.

The Financial Action Task Force outlined the findings from recent anti-money laundering / countering the financing of terrorism country-specific evaluations and warned of risks associated with stablecoins.