SEC Director of the Division of Enforcement Stephanie Avakian highlighted efforts "to combat wrongdoing, compensate harmed investors, and maintain confidence in the integrity and fairness of our markets."

FINRA requested comment on proposed procedures to address misconduct by non-associated persons during FINRA qualification examinations.

FINRA proposed amendments to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to modify the process for expunging customer dispute information.

In two new studies funded by the FINRA Investor Education Foundation, researchers found correlations between financial confidence and financial literacy and cognitive health in older persons.

In an Interpretive Letter, the OCC affirmed the authority of a national bank or federal savings association to hold stablecoin reserves for customers, subject to certain conditions.