The SEC approved applications from CBOE, Nasdaq and NYSE to list exchange-traded funds tied to the price of ether.

The Congressional Research Service considered some of the policy implications on "tokenization," a potential "next step in the evolution of finance." Tokenized assets include real-world assets that have been digitized, recorded and traded on a programmable platform.

An exchange and its subsidiaries settled SEC charges for failing to timely notify the agency of a systems intrusion.

Join Norton Rose Fulbright and Compliance Risk Concepts in discussing FINRA's new office rules on Wednesday, May 29th, 2024, at 10:00 am - 1:00 pm E.T. The new rules, which come into effect in June, will have a significant impact on firms that permit personnel to work from home, or that inspect their offices remotely.

An investment banking firm settled FINRA charges for failing to file documents in connection with public takedown offerings of securities following an initial shelf offering.