A firm settled FINRA charges for failing to supervise solicitations of private placements and for failing to comply with FINRA telemarketing rules.

The OCC named Kate Tyrrell as the agency's next Chief of Staff and Senior Deputy Comptroller.

In a no action letter, the CFTC Divisions of Market Oversight and Clearing and Risk granted the Chicago Mercantile Exchange relief from specific swap data reporting and recordkeeping requirements binary options contracts listed and cleared under its rules.

FINRA exempted "business development companies" from certain requirements that limited their participation in initial public offerings. BDCs may now participate without certifying that they are free of "restricted persons" or "covered persons."

The SEC asked the Court of Appeals for the Eighth Circuit to issue a decision on the agency's 2024 climate disclosure rule.