The FDIC reminded all supervised institutions on their compliance obligations under the Department of Labor's recently amended Prohibited Transaction Class Exemption rule for Qualified Professional Asset Manager exemptions.

An energy risk management company that solicited and accepted orders for swap and options transactions for its clients settled CFTC charges for failing to register as an introducing broker.

In response to a Treasury Department Request for Information, the CFPB described the agency's regulatory approach to AI opportunities and risks in the financial services industry.

A firm settled SEC charges for failing to file any Suspicious Activity Reports on transactions conducted through its alternative trading system platforms.

Ripple Labs CEO Brad Garlinghouse declared a "victory" for the company after a US District Court ordered Ripple to pay a civil penalty of $125 million. The SEC initially sought a $2 billion penalty for alleged sales of unregistered securities to institutional investors.