A firm settled FINRA charges for failing to detect unsuitable short-term trades of syndicate preferred stocks.

SEC Commissioner Hester M. Peirce called for U.S.-U.K. regulatory collaboration and proposed a cross border "joint digital sandbox" that could foster innovation across capital markets while enhancing regulatory insight.

A dually registered representative settled SEC charges for covering personal account trading losses by rebilling the unprofitable trades to client accounts.

The CFTC Office of Inspector General corrected whistleblower disclosure issues after it found that some of the agency's past agreements and websites did not meet federal requirements.

Federal Reserve Governor Michael S. Barr argued that financial crises in US history have often followed periods of regulatory weakening.