A broker-dealer settled FINRA charges for failing to reasonably supervise the "application of rights of reinstatement [benefits]" for eligible mutual fund customers.

The Internal Revenue Service and the US Treasury adopted final regulations requiring custodial brokers to report certain sale and exchange transactions beginning in 2026 for transactions in 2025.

In its fourth Supervisory Stress Test covering derivatives clearing organizations, the CFTC reported that all individual DCOs were "well capitalized to withstand multiple defaults, concurrent with extraordinarily large market shocks."

The SEC adopted amendments to Volume II of the Electronic Data Gathering, Analysis, and Retrieval system Filer Manual.

In a report detailing results from supervisory examinations completed between April 1, 2023 through December 31, 2023, the CFPB found financial institutions engaging in unfair, deceptive or abusive acts in their debt collection and debt servicing practices.