A national bank requested SEC relief that would allow it to serve as trustee for certain asset-backed securities issuers even when it is affiliated with the securities’ underwriter.

The SEC extended the deadline from February 28, 2026, to April 14, 2026, for considering a proposed rule change to amend the FINRA margin requirements rule.

An investment adviser and its Chief Compliance Officer settled SEC charges for disproportionately allocating profitable trades to the officer's personal account while allocating unprofitable trades to client accounts.

A broker settled FINRA charges for improperly expensing overtime meals without meeting the required criteria for reimbursement.

The New York Stock Exchange modified its definition of "reverse merger" to exclude specific de-SPAC transactions from its rule on listing reverse merger companies.