A broker-dealer settled FINRA charges for failing to ensure that certain equity traders had passed appropriate FINRA qualification examinations.

In a FINRA disciplinary proceeding, the Department of Enforcement alleged that two former registered representatives failed to report private securities transactions and outside business activities.

In a new Report, the Congressional Research Service (i) highlighted the increasing energy demands posed by blockchain technology and (ii) proposed regulatory solutions.

The SEC Division of Corporate Finance granted a Spanish bank exemptive relief from certain tender offer requirements.