A firm settled FINRA charges for distributing unregistered securities, failing to address red flags in private placements, inadequate supervisory procedures and misleading sales communications.

The CFPB sued a consumer reporting agency for failing to conduct reasonable reinvestigations of consumer disputes and for engaging in practices that resulted in the persistence of inaccurate information on consumer reports.

A crypto trading firm settled CFTC charges for providing false or incomplete statements of material facts as the CFTC was evaluating a proposal to list and trade bitcoin futures.

Rostin Behnam, Chair of the CFTC, will step down from his role on January 20, 2025, with his final day at the Commission set for February 7, 2025.

A firm settled FINRA charges for failing to accurately report over 500 transactions in TRACE-eligible and municipal securities.