The SEC approved amendments to the National Market System Plan Governing the Consolidated Audit Trail to implement various cost-saving measures.

The Blockchain Association countered arguments that the SEC should regulate participants supporting tokenized markets as if they were traditional financial intermediaries.

FINRA proposed rule amendments to exempt qualified "collective trust funds" from restrictions on purchasing initial public offerings and receiving new issue allocations.

A firm settled FINRA charges for failing to detect potentially manipulative trading by its customers and proprietary traders and for allowing a representative to send misleading emails to retail customers.

A firm settled FINRA charges for a representative's unsuitable leveraged investment recommendations and for unauthorized discretionary trading.