A broker settled FINRA charges for improperly expensing overtime meals without meeting the required criteria for reimbursement.

The New York Stock Exchange modified its definition of "reverse merger" to exclude specific de-SPAC transactions from its rule on listing reverse merger companies.

A broker-dealer settled FINRA charges for supervisory failures relating to Regulation Best Interest, Form CRS obligations, and supervisory control testing.

SEC Commissioner Mark T. Uyeda reported progress on two major initiatives affecting U.S. capital markets: implementing mandatory Treasury clearing and facilitating securities tokenization.

The International Organization of Securities Commissions outlined its 2026 Work Program, setting out strategic priorities to strengthen financial resilience and address risks associated with technological transformation in global capital markets.