A firm settled FINRA charges for failing to ensure the best execution for its customers' over-the-counter orders and for related deficiencies in the firm's supervisory system.

FINRA's Vice President of the Membership Application Program and Statutory Disqualification Program characterized the programs as both the "entry point" and "gatekeeper" for the securities industry.

Senior member of the Senate Banking Committee Jack Reed urged the Federal Reserve to "place additional guardrails" around credit risk transfer transactions.

A firm settled FINRA charges for failing to report millions of fractional share trades executed in a principal capacity with customers.

The Government Accountability Office determined that the Congressional Review Act does not apply to a Fed advisory letter on state bank engagement in certain dollar token activities.