A market-making firm settled FINRA charges for failing to conduct independent testing of its anti-money laundering program for two years and performing unreasonable testing for another two years.

Based on a recent survey which found that 52% of institutional participants anticipate utilizing tokenized collateral by the end of 2026, Nasdaq's Chief Economist warned that investors and regulators need to understand that not all tokens carry the same rights, risks or legal standing.

The Congressional Research Service reviewed policy options to expand bank account access for unbanked consumers.

A broker-dealer settled FINRA charges for failing to establish and maintain adequate customer identification, anti-money laundering, and identity theft prevention programs.

A broker-dealer settled FINRA charges for failing to review electronic communications and improperly managing its over-the-counter sponsorship and market making businesses.