A firm settled separate FINRA and NYSE American charges for failing to comply with market access risk management rules and for failing to reasonably supervise for potentially manipulative trading.

At a Senate Banking Committee hearing on the Financial Stability Oversight Council’s Annual Report, Treasury Secretary Scott Bessent emphasized that economic growth, security, and affordability—not restrictive regulation—should be the primary drivers of financial stability.

A broker settled FINRA charges for agreeing to be named a beneficiary to a customer's life insurance policy without notifying or receiving written approval from his firm.

In a speech to European bankers, SEC Chair Paul Atkins highlighted efforts to make U.S. capital markets more competitive and pledged to cooperate with European securities regulators to "understand one another’s regulatory frameworks, anticipate potential points of friction, and prevent differences from becoming divisions that might otherwise affect cross-border market activity."

The CFTC withdrew a 2024 rulemaking on "gaming" and a related staff advisory concerning sports-related event contracts.