A firm settled FINRA charges for failing to timely and accurately submit required anti-market manipulation notifications, related supervisory deficiencies, and inaccurate statements to regulators in a prior Corrective Action Statement.

The White House Office of Information and Regulatory Affairs concluded its review of a proposed rule by the Department of Labor that would clarify the agency’s position on alternative assets in 401(k) plans.

SEC Chair Paul Atkins provided some insight as to the SEC's recent interpretive release intended to clarify digital asset regulation through the use of a token taxonomy and the issuance of updated Howey test guidance.

The CFTC established an Innovation Task Force dedicated to establishing "clear rules of the road" for American innovators building novel products and technologies within the U.S. derivatives markets.

FINRA implemented technological enhancements to the New Member Application to streamline the Membership Application Program process and improve the user experience for prospective member firms.