An introducing broker-dealer settled FINRA charges for misclassifying its owner's personal expenses as business expenses and failing to register and supervise an unregistered individual serving as a principal of the firm.

The FDIC reminded insured depository institutions on requirements for reporting estimated uninsured deposits.

The Congressional Research Service reviewed policy issues related to the oversight of banking agencies in light of the failures of Silicon Valley Bank and Signature Bank.

A management, consulting and engineering firm providing services on government-backed contracts settled a False Claims Act case with the United States and a private qui tam relator following allegations that the firm made false statements and submitted inflated invoices.

Instinet, which provides market access and execution services to institutional market participants, settled FINRA charges for failing to capture certain protected quotation data necessary for informed decision-making when routing intermarket sweep orders to exchanges.