The Congressional Research Service reviewed the federal government's legal framework for combating financial crimes.

A firm settled FINRA charges for supervisory failures on private placement solicitations, misleading retail communications, and notification failures on the termination of research coverage.

The Division of Corporation Finance confirmed that financial institutions acting as dealers do not become part of a "group" with its counterparties by virtue of entering into derivative contracts with such counterparties, provided the dealing institutions retain sole discretion over hedging and voting decisions.

SEC Chair Paul Atkins and CFTC Chair Michael Selig announced that "Project Crypto" will now proceed as a joint initiative between the two agencies to unify federal oversight of digital asset markets.

A broker-dealer settled FINRA charges for supervisory failures over Regulation Best Interest and Form CRS obligations.