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.

FINRA suspended a broker for forging customer electronic signatures on firm records.

A firm settled FINRA charges for failing to establish a supervisory system designed to detect the forgery and falsification of electronic signatures.

FINRA suspended a broker for recommending unsuitable variable annuity exchanges.