A broker-dealer settled SEC charges for failing to investigate red flags in its equity trading business which resulted in failing to file suspicious activity reports.

The Federal Reserve Board of Governors adopted amendments to its Rules Regarding Delegation of Authority which would authorize the General Counsel to grant exceptions to the anti-tying provisions of the Bank Holding Company Act.

The OCC, the Federal Reserve System, and the FDIC issued guidance clarifying the regulatory capital treatment of "eligible tokenized securities."

The SEC will hold a roundtable on listed options market structure on April 16, 2026.

The Office of the Comptroller of the Currency issued a final rule simplifying licensing requirements for corporate activities and transactions involving national banks and federal savings associations with less than $30 billion in total assets.