A firm settled FINRA charges for a representative's unsuitable leveraged investment recommendations and for unauthorized discretionary trading.

The SEC issued an Order granting, modifying, and rescinding various exemptions on disclosure rules that require market centers and certain broker-dealers to publish monthly electronic reports on order execution quality for national market system stocks.

The Federal Reserve analyzed trends in AI adoption in the U.S. through 2025. A key finding was the dominance of financial services and professional services — lawyers, consultants, and tech firms — which led every other industry by a significant margin.

An executive at the Depository Trust and Clearing Corporation urged the private market industry to move away from fragmented, manual operational processes and build a shared infrastructure to ensure predictable and reliable outcomes for end investors.

FINRA researchers warned retail investors that they significantly increase their exposure to fraud if they base their financial decisions on social media and "finfluencers."