FINRA requested comment on how to revise its arbitration rules, guidance, and processes.

A broker-dealer settled SEC charges for failing to investigate red flags in its equity trading business which resulted in failing to file suspicious activity reports.

The Federal Reserve Board of Governors adopted amendments to its Rules Regarding Delegation of Authority which would authorize the General Counsel to grant exceptions to the anti-tying provisions of the Bank Holding Company Act.

The OCC, the Federal Reserve System, and the FDIC issued guidance clarifying the regulatory capital treatment of "eligible tokenized securities."

The SEC will hold a roundtable on listed options market structure on April 16, 2026.