A broker-dealer settled FINRA charges for inadequate controls on market access risk, manipulative trading and anti-money laundering.

A broker-dealer settled FINRA charges for supervisory failures over the sale of speculative alternative investments and Reg BI violations.

Recently sworn-in SEC Chair Paul S. Atkins said one of his top priorities "will be to provide a firm regulatory foundation for digital assets."

A firm settled FINRA charges for reporting failures related to restricted period notifications on securities distributions.

The CFTC Divisions of Market Oversight, Clearing and Risk, and Market Participants requested comment on the regulatory treatment and market implications of "perpetual derivatives contracts."