Senate Democrats Elizabeth Warren and Chris Van Hollen urged federal banking authorities to exercise their authority to directly regulate "Banking as a Service" and banking-related fintech companies.

A firm settled FINRA charges for allowing unregistered individuals to perform investment banking activities.

A global manufacturer settled SEC charges that the company's subsidiary violated the Foreign Corrupt Practices Act. The SEC charged that the subsidiary engaged in improper conduct to win government contracts in Thailand.

SIFMA commended US regulators' decision to pursue "broad and material revisions" to the Basel III Endgame re-proposal.

A company settled SEC charges for acting as an unregistered broker and clearing agency in connection with its crypto asset trading platform.