The Financial Crimes Enforcement Network ("FinCEN") proposed postponing the effective date of the 2024 final rule establishing AML/CFT program and SARs filing requirements for SEC-registered investment advisers ("RIAs") and exempt reporting advisers ("ERAs").

A firm settled FINRA charges for inaccurately reporting thousands of fixed-income transactions to TRACE and for related supervisory failures.

The Conference of State Bank Supervisors ("CSBS") and the National Association of State Credit Union Supervisors ("NASCUS", and together with CSBS, the "Associations") called on federal banking regulators to strengthen defenses against payments fraud.

FINRA suspended a broker for making false statements to her firm and failing to obtain approval before opening an outside brokerage account.

In a letter to SEC Chair Paul Atkins, three financial trade associations urged the SEC to preserve strong investor protections as it considers changes to the regulatory framework for the custody of crypto assets.