SEC Chair Paul Atkins and Commissioner Hester Peirce previewed intended next steps in the agency’s crypto regulatory agenda, including a proposed "innovation exemption" for tokenized securities.

Federal Reserve Vice Chair for Supervision Michelle W. Bowman outlined upcoming regulatory initiatives designed to tailor banking requirements and shift examiner focus toward material financial risks.

A firm settled FINRA charges for failing to submit accurate, complete, and timely offering documents to the Municipal Securities Rulemaking Board.

A federal court entered a final judgment against an investment adviser and his firm following a jury’s finding that they defrauded clients by failing to disclose significant upfront commissions from the sale of annuity products.

FINRA proposed amending its rules governing communications with the public to allow broker-dealers to include projections of performance and targeted returns.