A broker-dealer settled FINRA charges for supervision failures related to unsuitable recommendations involving variable interest rate structured products.

A broker-dealer settled FINRA charges for failing to report the time of execution in the finest increment of time captured by its system when reporting transactions in Treasury securities to TRACE.

The SEC charged an individual with engaging in a scheme to inflate prices in securities on a decentralized exchange, and using swaps contracts, at their inflated value, as collateral to secure other digital assets.

A broker-dealer settled FINRA charges for failing to supervise the trading activity of its proprietary traders and customers for potentially manipulative trading.

A cryptocurrency firm settled SEC charges for conducting an unregistered securities offering of a crypto asset lending product.