A registered representative settled FINRA charges for (i) sharing in his customers' losses and (ii) making an unauthorized loan to a customer.

A representative settled FINRA charges for excessive and unsuitable trading in a customer's account.

Treasury Secretary Janet L. Yellen described the Biden Administration's approach to digital asset regulation.

The Department of Labor extended the comment period on a proposed rule to change existing procedure governing the filing and processing of applications for administrative exemptions under certain statutory prohibited transaction provisions.

FINRA proposed extending a pilot program that governs the review of "clearly erroneous transactions" in exchange-listed securities.