A firm settled FINRA charges for failing to adequately surveil and supervise deferred variable annuity exchanges.

Legislators released a bipartisan bill to establish a comprehensive federal tax framework for digital assets.

The SEC approved a proposed rule change by NYSE American LLC to amend its initial listing standards.

CFTC Chair Michael Selig highlighted the agency’s push for clearer rules to support crypto, prediction markets, and commodities.

A firm settled FINRA charges for operating while net capital deficient, failing to timely notify regulators of such deficiencies and other required thresholds, and for related supervisory failures.