A firm settled FINRA charges for failing to develop and implement an anti-money laundering program reasonably designed to detect and report suspicious transactions involving low-priced securities, and for failing to establish an adequate due diligence program for correspondent accounts of the firm's affiliated foreign financial institutions.

The North American Securities Administrators Association submitted a comment letter urging congressional lawmakers to modify proposed digital asset legislation to ensure the preservation of essential state regulatory authority.

A firm settled separate charges with The Nasdaq Options Market LLC and The Nasdaq Stock Market LLC for failing to comply with market maker quoting obligations and for related supervisory failures.

A firm settled NYSE Arca charges for prematurely announcing orders, trading beyond client instructions, and for related recordkeeping and supervisory failures.

A judge for the U.S. District Court for the District of Massachusetts dismissed a lawsuit brought by Robinhood Derivatives, LLC seeking a preliminary injunction to prevent the Massachusetts attorney general and state gaming regulators from enforcing state gambling laws against the firm's sports-related event contracts.