FINRA pushed back the effective date on fractional share reporting enhancements and related guidance from first quarter to no earlier than third quarter, 2025.

A broker-dealer settled FINRA charges for failing to disclose its disciplinary history as required on the customer relationship summary.

The SEC adopted final rule amendments to reflect the United States Court of Appeals for the Fifth Circuit vacatur of the agency's "Private Fund Advisers Rule."

The Public Company Accounting Oversight Board revoked the registration of a public accounting firm located in China for reporting failures and non-cooperation with the Board's investigation.

A broker-dealer settled FINRA charges for failing to surveil rates "of effecting deferred variable annuity exchanges that raise for review whether such rates of exchanges evidence [mis]conduct."