Investment Company Institute President and CEO Eric J. Pan called on the SEC to lift restrictions on access to private markets by retail investors.

FINRA permanently barred a firm's former broker for refusing to cooperate with an investigation into possible cheating on continuing education requirements.

PCAOB Chair Erica Y. Williams reported significant improvement on audit quality across all firms and progress in "holding Chinese firms accountable and bringing historic enforcement cases." She also sounded alarms about proposed legislation that would dissolve the agency and transfer its responsibilities to the SEC.

CFTC Acting Director of the Division of Market Oversight Amanda L. Olear will leave the CFTC on May 2, 2025.

The OCC settled charges against a bank's former auditors for failing to take action on pervasive "sales practice misconduct."