Six credit rating agencies settled SEC charges for failures to preserve electronic communications.

An investment adviser settled SEC charges for misleading statements regarding its redemption practices and for failing to maintain crypto asset securities with a qualified custodian.

A US District Court ordered a hedge fund manager to pay a civil penalty of $39.5 million for insider trading.

A firm settled FINRA charges for failing to implement an anti-money laundering program tailored to its business of providing cash management securities accounts to corporate customers.

Members of FINRA's Exam Program highlighted the introduction of thematic reviews to address specific areas of heightened risk.