FINRA suspended a former broker for recommending unsuitable investments to retail clients.

FINRA suspended a former broker for failing to disclose outside business activities.

A firm settled FINRA charges for failing to accurately report data to the Consolidated Audit Trail Central Repository, and for related supervisory, trade reporting and recordkeeping failures.

At the fourth SEC Crypto Task Force roundtable, SEC Commissioners framed the regulatory issues over asset tokenization.

SIFMA and the SIFMA Asset Management Group urged the SEC to "apply existing and well-understood securities regulatory principles to digital assets, rather than creating a distinct architecture for this class of assets and transactions."