FINRA barred a broker for failing to provide testimony in connection with an investigation into allegations related to unauthorized sales and funds transfers from a customer's account.

The SEC's Division of Corporation Finance issued guidance to clarify how issuers of crypto asset exchange-traded products should comply with disclosure rules.

The Senate voted to remove a 2025 budget reconciliation bill provision that would have imposed a moratorium on enforcing state-level artificial intelligence laws or regulations.

Director of the SEC Office of Municipal Securities Dave A. Sanchez urged municipalities to use up-to-date information in their securities disclosures and cautioned that outdated terminology and stale reporting practices could undermine investor confidence.

FinCEN designated three Mexican banks as financial institutions of "primary money laundering concern" for facilitating transactions tied to the trafficking of synthetic opioids, including fentanyl.