An investment adviser settled SEC charges for failing to disclose material conflicts of interest. The conflicts concerned the firm's financial incentives to complete a business combination for a special purpose acquisition company.

SEC Director of the Division of Trading and Markets Jamie Selway outlined priorities for developing a framework for trading tokenized securities.

A firm settled FINRA charges for failing to properly route Intermarket Sweep Orders due to configuration errors in its automated system.

Senate Banking Committee Ranking Member Elizabeth Warren criticized major bank CEOs for opposing credit card interest rate caps.

A research scientist settled SEC charges for trading on material nonpublic information. The information concerned an FDA delay in approving a cancer therapy.