A firm settled FINRA charges for failing to supervise recommendations of non-traditional exchange-traded funds and failing to file private placement offering materials.

The Federal Deposit Insurance Corporation "adopt[ed] revised guidelines for Appeals of Material Supervisory Determinations to replace the existing Supervision Appeals Review Committee with an independent, standalone office to consider and decide supervisory appeals."

An investment adviser settled SEC charges for failing to disclose material conflicts of interest. The conflicts concerned the firm's financial incentives to complete a business combination for a special purpose acquisition company.

SEC Director of the Division of Trading and Markets Jamie Selway outlined priorities for developing a framework for trading tokenized securities.

A firm settled FINRA charges for failing to properly route Intermarket Sweep Orders due to configuration errors in its automated system.