A firm settled FINRA charges for disclosure deficiencies in retail communications concerning crypto assets and crypto asset-related services.

FINRA suspended a broker for exercising discretion in customer accounts without written authorization.

The Managed Funds Association urged the SEC and the CFTC to further delay the compliance date on new requirements to private fund reporting ("Form PF"), citing operational burdens and ongoing regulatory changes.

The SEC's Division of Investment Management will host a conference covering emerging trends in digital assets, registered funds and private markets. The conference is scheduled for June 5, 2025.

A firm settled FINRA charges for failing to adequately supervise influencer social media communications and maintain required records.