Senate Democrats asked Labor Secretary Lori Chavez-DeRemer and SEC Chair Paul S. Atkins to explain how fiduciary standards under ERISA will be upheld and what safeguards will be implemented to protect retirement investors from new policies expanding access to alternative assets in retirement plans.

SEC Chair Paul S. Atkins described the Commission’s approach to the upcoming expiration of the phase-in period for the "de minimis exception" to security-based swap dealer registration requirements.

A firm settled FINRA charges for failing to accurately report and supervise large options position reporting submissions.

The International Organization of Securities Commissions found uneven progress across 20 jurisdictions on the implementation of its 2023 Policy Recommendations for Crypto and Digital Assets.

The Bank Policy Institute warned that outdated supervisory frameworks are discouraging responsible innovation and delaying the deployment of AI tools essential for fraud detection, cybersecurity, and risk management.