A firm settled FINRA charges for failing to reasonably supervise outside business activities and for failing to monitor and preserve off-channel business related electronic communications.

SEC Director of the Division of Investment Management Brian Daly encouraged the investment management industry to collaborate on ways AI can modernize investor disclosures and improve regulatory processes.

A broker settled FINRA charges for mismarking order tickets, causing his firm to maintain inaccurate books and records.

The SEC approved the application for registration of ICE Clear Credit LLC as a clearing agency to provide central counterparty services for transactions involving U.S. Treasury securities.

SIFMA urged the IRS to provide regulatory clarity on the establishment and administration of newly proposed "Trump accounts."