A firm settled FINRA charges for failing to supervise private placement general solicitations.

The United States Court of Appeals for the Eleventh Circuit vacated a 2023 SEC regulation that established a new funding model for the Consolidated Audit Trail.

The Student Borrower Protection Center and the Consumer Federation of America accused the Trump administration of systematically dismantling the Consumer Financial Protection Bureau's enforcement program.

A firm settled Nasdaq PHLX, LLC charges for supervisory deficiencies related to oversight of Nasdaq's quote spread compliance procedures.

Senate Republicans introduced legislation to limit the Consumer Financial Protection Bureau's jurisdiction over "persons regulated by a state insurance regulator."