The SEC's Crypto Task Force will hold four additional roundtable discussions as part of its ongoing series on crypto asset regulation.

A firm and its chief compliance officer settled FINRA charges for (i) improper access by traders to non-public research, (ii) supervisory failures on outside brokerage accounts, (iii) trade reporting failures and (iv) inaccurate customer confirmations.

SIFMA Executive Vice President and General Counsel Saima Ahmed said "the new Administration will take a far different posture toward regulation, enforcement and rulemaking," creating both "uncertainty" and "opportunit[y]."

Acting Comptroller of the Currency Rodney E. Hood reaffirmed the OCC's commitment to creating "pathways to financial inclusion and generational wealth."

The Financial Crimes Enforcement Network adopted an interim final rule to narrow the existing beneficial ownership information reporting requirements under the Corporate Transparency Act.