A firm settled FINRA charges for failing to detect potentially manipulative trading by its customers and proprietary traders and for allowing a representative to send misleading emails to retail customers.

A firm settled FINRA charges for a representative's unsuitable leveraged investment recommendations and for unauthorized discretionary trading.

The SEC issued an Order granting, modifying, and rescinding various exemptions on disclosure rules that require market centers and certain broker-dealers to publish monthly electronic reports on order execution quality for national market system stocks.

The Federal Reserve analyzed trends in AI adoption in the U.S. through 2025. A key finding was the dominance of financial services and professional services — lawyers, consultants, and tech firms — which led every other industry by a significant margin.

An executive at the Depository Trust and Clearing Corporation urged the private market industry to move away from fragmented, manual operational processes and build a shared infrastructure to ensure predictable and reliable outcomes for end investors.