The CFTC charged a trader and two firms for soliciting and misappropriating funds intended for foreign exchange trading.

In a Financial Capability Insight Report, FINRA Foundation researchers described the financial behaviors and perceptions of Gen Xers—those born between 1965 and 1980.

Acting Comptroller of the Currency Michael J. Hsu urged financial regulators to strike a careful balance in managing systemic risks, warning against both overreach and excessive caution.

The SEC adopted new rules that require covered clearing agencies to establish (i) risk-based margin systems for central counterparty services and (ii) effective recovery and orderly wind-down plans.

FINRA staff reported findings from a research initiative focused on "the opportunities and risks that the metaverse may present" for the financial services industry.