A broker-dealer settled FINRA charges for failing to maintain an anti-money laundering program reasonably designed to detect and cause the reporting of suspicious activity and for failing to conduct required customer due diligence.

A broker-dealer settled FINRA charges for failing to comply with its duty of care obligations under Regulation Best Interest regarding unit investment trust recommendations.

The National Credit Union Administration compiled reference material for credit unions to use "when evaluating or performing due diligence on third-party vendors that provide artificial intelligence services."

The Fixed Income Clearing Corporation proposed rule changes to expand the availability of its "Cross-Margining Arrangement" with the Chicago Mercantile Exchange Inc. "to positions cleared and carried for customers by a dually registered broker-dealer and futures commission merchant."

A trading center settled FINRA charges for failing to ensure routed orders met inter-market sweep order requirements and for failing to prevent prohibited trade-throughs of protected quotations.