FINRA suspended a broker for impersonating multiple customers in phone calls.

FINRA barred a broker for failing to provide testimony in response to an investigation into the suitability of investment recommendations made to retail customers.

A former senior bank regulator settled SEC charges for engaging in insider trading.

SEC Commissioner Hester M. Peirce suggested ways to reduce regulatory barriers in early-stage capital formation.

FinCEN will postpone the effective date of the 2024 final rule establishing AML/CFT program and SARs filing requirements for SEC-registered investment advisers and exempt reporting advisers.