A firm settled NYSE charges for allowing its floor brokers to provide non-customers with "market looks."

A firm settled FINRA charges for allowing non-registered foreign associated persons to conduct securities business using the firm's systems.

The CFPB issued a final rule requiring financial institutions, including banks, credit unions and other financial service providers, to make consumers' financial data available to the relevant consumer upon request and in a secure, electronic format.

SEC Commissioner Mark T. Uyeda decried "paternalistic policies in the regulation of private markets," and called for a more cost-effective and transparent regulatory framework that better facilitates capital formation.

In an annual report, the SEC Division of Examinations highlighted key risks for investors and registrants and emphasized priority areas for examination in fiscal year 2025.