FINRA suspended a broker for recommending unsuitable annuity contracts and for related recordkeeping failures.

In anticipation of an upcoming roundtable on executive compensation, SEC Chair Paul S. Atkins asked how rules might be revised to better reflect the roles of management, boards and advisors.

CFTC Commissioner Christy Goldsmith Romero will leave the agency on May 31, 2025.

SEC Commissioner Mark T. Uyeda urged the SEC to "modernize the exemptive landscape" to expand retail investor participation in private markets. He also highlighted recent research on ESG-related fund practices.

A firm settled FINRA charges for improperly participating in crowdfunding offerings and for related recordkeeping failures.