Federal Deposit Insurance Corporation Vice Chair Thomas M. Hoenig outlined a regulatory approach for providing meaningful relief without "undermining the goal of assuring sound banking."

FINRA urged members to be wary of recommending or entering unpriced customer orders on the first day of trading of a direct listing.

A broker-dealer settled charges with the SEC and FINRA for failure to supervise and file Suspicious Activity Reports concerning numerous suspicious transactions.

The SEC charged a broker-dealer for failing to take action against a registered representative who was conducting a pump-and-dump scheme.