SIFMA objected to the FDIC's proposed revisions to brokered deposit regulations and urged the agency to withdraw the proposal and retain the existing framework.

A broker-dealer settled FINRA charges for failing to supervise consolidated statements of customer accounts from the broker-dealer and its affiliates, leading to the dissemination of materially inaccurate account information.

SEC staff issued a no-action letter that exempts most traded debt securities from the application of SEA Rule 15c2-11 ("Initiation or resumption of quotations without specific information").

A United States District Court "vacated in its entirety" the SEC's "Dealer Rule." The rule would have expanded the definitions of "dealer" and "government securities dealer" to entities that had historically been considered "traders" outside the scope of the broker-dealer registration requirement.

The CFPB issued a final rule establishing supervisory authority over "larger participant" nonbanks that offer "general-use digital consumer payment applications."