CFTC Commissioner Kristin N. Johnson called for stronger third-party risk management and cyber preparedness as advances in AI pose increasing risks.

The North American Securities Administrators Association recommended changes to the House bill on digital asset market structure to ensure that state securities regulators continue to play their "critical" role in the "dual system of securities regulation in the United States."

FINRA collected $59.8 million in fines from member firms in 2024, but spent $89.3 million "in fines-eligible expenditures." FINRA said the difference was funded through its reserves and excess operating results.

A firm settled FINRA charges for failing to disclose disciplinary history in its customer relationship summary.

FINRA barred a broker for failing to provide documents and information in connection with an investigation into undisclosed outside business activity.