FINRA's Vice President of the Membership Application Program and Statutory Disqualification Program characterized the programs as both the "entry point" and "gatekeeper" for the securities industry.

Senior member of the Senate Banking Committee Jack Reed urged the Federal Reserve to "place additional guardrails" around credit risk transfer transactions.

A firm settled FINRA charges for failing to report millions of fractional share trades executed in a principal capacity with customers.

The Government Accountability Office determined that the Congressional Review Act does not apply to a Fed advisory letter on state bank engagement in certain dollar token activities.

A bipartisan group of lawmakers proposed legislation to establish "regulatory sandboxes" that would allow financial regulators to "experiment with AI test projects" under a controlled environment.