A federal court entered a final judgment against an investment adviser and his firm following a jury’s finding that they defrauded clients by failing to disclose significant upfront commissions from the sale of annuity products.

FINRA proposed amending its rules governing communications with the public to allow broker-dealers to include projections of performance and targeted returns.

The Digital Chamber, a blockchain and digital asset trade association, urged CFTC Chair Michael Selig to pursue formal rulemaking for prediction markets and event contracts.

The SEC approved amendments to FINRA rules on "influencing or rewarding employees of others" and non-cash compensation.

The federal banking agencies rescinded 2017 public guidance on the Liquidity Coverage Ratio rule. They said they will seek public comment in the future on the issues addressed in the published FAQs, as well as on any proposed regulatory changes.