FINRA implemented technological enhancements to the New Member Application to streamline the Membership Application Program process and improve the user experience for prospective member firms.

The Congressional Research Service reviewed how the Financial Crimes Enforcement Network is implementing the Anti-Money Laundering Act of 2020 amid changing regulatory priorities.

Senator Adam Schiff (D-CA) and Senator John Curtis (R-UT) introduced legislation that would prohibit CFTC-registered entities from listing or clearing event contracts involving "sports and casino-style" activities.

The SEC requested comment to determine whether to approve or disapprove a proposed rule change by the Fixed Income Clearing Corporation to amend its Cross-Margining Agreement with the Chicago Mercantile Exchange Inc. to extend cross-margining capabilities between cash market and futures to customer accounts.

The Investment Company Institute supported FINRA’s proposal to permit performance projections and target returns in broker-dealer communications, underscoring their usefulness in informing investor decision-making.