A firm settled FINRA charges for operating below its minimum net capital requirement, inadequate supervisory controls, and failures to make timely filings in connection with public offerings.

CFTC Commissioner Kristin N. Johnson recapped takeaways from two recent roundtables—one focused on financial innovation and the oversight of emerging technologies, and the other on surveillance and supervision.

The Texas State Securities Board and the New Jersey Bureau of Securities issued guidance to investment advisers on the use of data aggregation services and third-party financial platforms.

The SEC Division of Corporation Finance analyzed the "economic realities" of Liquid Staking arrangements—including the issuance of staking receipt tokens—under the Supreme Court's Howey test to determine whether they involve "a reasonable expectation of profits to be derived from the entrepreneurial or managerial efforts of others."

A broker, who managed accounts for two customers who were employed by another brokerage firm, settled FINRA charges for negligent misrepresentations made in attestation letters concerning the nature of the accounts.