A former equity trader at a major asset manager and his trading associate agreed to settle SEC charges that they ran a six-year front-running scheme generating about $47 million in illegal profits.

A broker-dealer agreed to a censure and a $950,000 fine to settle FINRA charges that it sent customers inaccurate cost-basis information in account statements, trade confirmations, and tax forms over roughly eleven years.

SEC Commissioner Hester Peirce urged regulators to make it easier for financial firms to rely on another regulated entity's verification of a customer's identity, rather than requiring each firm to repeat the same checks.

SEC staff said it would not recommend enforcement action against two broker-dealers using a "zero cash balance" structure, in which customer cash is held in an External Cash Account at a bank or a state-licensed, FinCEN-registered money services business and moves into the brokerage account only to fund purchases, per two letters dated September 17, 2026.

KalshiEX LLC, Coinbase Derivatives, LLC and Bitnomial Exchange, LLC each filed proposed SEC rule changes on September 18, 2026 to list "perpetual" security futures - single-stock contracts with no fixed expiration date.