The SEC Division of Investment Management issued updated guidance on the Investment Adviser Marketing Rule.

FINRA proposed adopting a new consolidated rule and deleting existing rules on outside business activities and private securities transactions.

The Nasdaq Stock Market LLC ("Nasdaq") proposed amending its rules to enable the trading of securities on the Exchange in tokenized form during the pendency of a pilot program operated by the Depository Trust Company ("DTC").

The Congressional Research Service reviewed the federal government's legal framework for combating financial crimes.

A firm settled FINRA charges for supervisory failures on private placement solicitations, misleading retail communications, and notification failures on the termination of research coverage.