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.

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.