The SEC proposed to establish a new limited and conditional exemption from the broker registration requirements for natural persons engaging in certain limited capital-raising activities on behalf of issuers seeking to raise funds from accredited investors.

A national bank settled charges for failing to properly oversee the decommissioning of two data centers involved with the bank's wealth management business.

The SEC adopted a new rule and related amendments in order to simplify and update the framework for fund of funds arrangements.

The North American Securities Administrators Association requested comments on an amendment to a proposed continuing education program and model rule for investment adviser representatives.

The Financial Conduct Authority banned the sale, distribution and marketing to retail customers of cryptoasset derivatives and exchange traded notes that reference unregulated transferable cryptoassets.