A Special Master appointed by the US District Court for the District of New Jersey recommended dismissal of the CFTC's enforcement action against a proprietary trading business. The Court found that the agency engaged in a pattern of willful and bad-faith misrepresentations to the Court.

FINRA suspended a former broker for recommending unsuitable investments to retail clients.

FINRA suspended a former broker for failing to disclose outside business activities.

A firm settled FINRA charges for failing to accurately report data to the Consolidated Audit Trail Central Repository, and for related supervisory, trade reporting and recordkeeping failures.

At the fourth SEC Crypto Task Force roundtable, SEC Commissioners framed the regulatory issues over asset tokenization.