FINRA suspended a broker for exercising discretion in customer accounts without written authorization.

A firm settled NYSE American charges for failing to accurately record data on manual options order memoranda and for failing to maintain an adequate supervisory system.

The SEC reduced a permanent bar imposed by FINRA on an individual for misconduct during the Series 24 exam.

The Senate Banking Committee released the "Responsible Financial Innovation Act of 2025," a draft bill to create a comprehensive regulatory framework for digital assets, including defining regulatory oversight responsibilities and token classification.

Ranking Member of the Senate Banking Committee Elizabeth Warren and Senator Jack Reed asked the SEC Chair Paul Atkins to explain the Commission's delays in implementing updates to Form PF.