A firm settled FINRA charges for Regulation Best Interest failures and municipal securities rules violations concerning share class recommendations in plan rollovers.

In an Investor Insights article, FINRA highlighted resources to help protect senior investors from financial exploitation.

In an Investor Insights article, FINRA described Single Stock Trading Pauses and Market-Wide Circuit Breakers—protections intended to maintain orderly trading during periods of extreme price swings.

The SEC reported enforcement results for Fiscal Year 2024, highlighting a decline in the total number of enforcement actions year over year, but a record amount in financial remedies.

The US Court of Appeals for the Fifth Circuit ruled that the Treasury Department's Office of Foreign Assets Control improperly sanctioned Tornado Cash, "an open-source, crypto- transaction software protocol that facilitates anonymous transactions by obfuscating the origins and destinations of digital asset transfers."