In its 2024 Annual Report, the FSOC identified significant financial vulnerabilities and made recommendations to address potential threats to US financial stability.

A firm settled FINRA charges for failing to (i) fingerprint and use fingerprint results to screen for statutory disqualification of its non-registered associated persons and (ii) maintain proper fingerprint records.

An individual and two companies he controlled settled CFTC charges for fraudulent solicitation and misappropriation of funds intended for foreign exchange trading and commodity pool operations.

The Government Accountability Office identified weaknesses in the Federal Reserve's and FDIC's processes "related to escalation of supervisory concerns." The GAO also found that the OCC generally adheres to its procedures for escalating supervisory concerns.

A firm settled FINRA charges for (i) receiving unfair and unreasonable underwriting compensation that was also inaccurately described in offering documents, and (ii) certain filing failures in connection with three public offerings.