A broker settled FINRA charges for mismarking order tickets, causing his firm to maintain inaccurate books and records.

The SEC approved the application for registration of ICE Clear Credit LLC as a clearing agency to provide central counterparty services for transactions involving U.S. Treasury securities.

SIFMA urged the IRS to provide regulatory clarity on the establishment and administration of newly proposed "Trump accounts."

President Donald Trump nominated Kevin Warsh to be the next Chair of the Board of Governors of the Federal Reserve System.

A firm settled FINRA charges for failing to adequately monitor and preserve off-channel communications and for failing to comply with discovery obligations ordered by an arbitration panel.