A broker-dealer settled state charges for unreasonable commissions on small principal equity transactions.

Nasdaq proposed tightening its initial listing requirements for Special Purpose Acquisition Companies.

SEC Chair Paul Atkins called on global regulators to deepen cooperation on regulatory policy, cross-border enforcement, and emerging technology to safeguard international capital markets.

A broker-dealer's former regional branch manager was suspended and fined for failing to supervise registered representatives who churned and excessively traded customer accounts.

The Investment Company Institute warned that retail-accessible private credit funds face serious valuation risks as the nearly $1.75 trillion asset class outpaces the oversight frameworks designed to protect everyday investors.