A broker-dealer settled charges with FINRA for failing to file required information in connection with private placement offerings sold to retail investors.

The DOJ, OFAC, FinCEN and the CFTC settled enforcement actions against Binance, its CEO and former CCO. The coordinated settlements addressed charges against the digital asset exchange for CFTC registration failures and for violations of the Bank Secrecy Act and International Emergency Economic Powers Act sanctions programs.

A broker-dealer settled charges with FINRA for publishing incorrect quarterly reports required under National Market System regulations.

A broker-dealer settled charges with FINRA for failing to review internal communications.

The SEC adopted a final rule to prohibit an asset-backed "securitization participant" from engaging in any transaction that could involve or result in a material conflict of interest.