The SEC charged an individual and related defendants with fraud and misappropriation in a global crypto investment scheme.

A broker-dealer settled FINRA charges for inadequate controls on market access risk, manipulative trading and anti-money laundering.

A broker-dealer settled FINRA charges for supervisory failures over the sale of speculative alternative investments and Reg BI violations.

Recently sworn-in SEC Chair Paul S. Atkins said one of his top priorities "will be to provide a firm regulatory foundation for digital assets."

A firm settled FINRA charges for reporting failures related to restricted period notifications on securities distributions.