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.