The New York State Department of Financial Services ("NYDFS") issued new guidance on ransomware prevention. NYDFS highlighted cybersecurity measures to significantly reduce the risk of an attack.

The U.S. House Financial Services Committee considered the increased exposure that institutional investors and individual persons have in the digital assets markets.

An introducing broker-dealer that provides retail customers with commission-free trading through its website and mobile applications settled FINRA charges for significant systemic failures that led to (i) customers receiving false or misleading information, (ii) system-wide outages and (iii) customers being inappropriately approved to trade options.

FINRA requested comments on effective ways to reach "younger, novice investors and people who have yet to participate in investing outside an employer-sponsored retirement plan."

The Cabinet Regulatory Tracker is a list of effective dates, compliance dates and comment deadlines.