FINRA suspended a broker for placing unauthorized mutual fund trades in the accounts of four customers.

A firm settled FINRA charges for failing to maintain an adequate supervisory system for monitoring deferred variable annuity exchanges.

Senate Democrats asked the Departments of Treasury and Justice to explain how they are addressing the national security and illicit finance risks of a U.S. crypto firm, with ties to the family of President Trump, that reportedly sold tokens to buyers that conducted business with money laundering entities and illicit actors.

After a review of its role in the shareholder proxy proposal process, the SEC’s Division of Corporation Finance decided that it will not evaluate the merits of company submissions of no-action requests, nor express views on a company's intended reliance on rule exclusions, during this upcoming proxy season.

In an annual report, the SEC Division of Examinations identified priority areas for examination and highlighted key risks for investors and registrants in 2026.