At a House Financial Services Subcommittee Oversight hearing titled "Victims of Regulatory Overreach: How the SEC’s Climate Disclosure Rule Will Harm Americans," witnesses testified on the SEC's "aggressive" regulatory agenda, describing an "onslaught of rushed rulemaking."

CFTC Commissioner Kristin N. Johnson warned against the "potential perils of integrating innovation without proper guardrails."

The Alternative Investment Management Association, the Managed Funds Association and the National Association of Private Fund Managers filed a Complaint against the SEC to vacate the agency's recently adopted rule to change the definitions of "dealer" and "government securities dealer.”

A firm settled FINRA charges for failing to supervise the transmittal of customer funds by representatives with power of attorney and for failing to respond to red flags involving unsuitable trading recommendations.

In an administrative ruling, FinCEN clarified that broker-dealers were required to collect information when opening new accounts for customers who receive assets as the beneficiary of an estate.