A broker-dealer settled charges with FINRA for failing to have a supervisory system in place that could reasonably detect potential "spoofing" and "layering."

The SEC entered into a Stipulation of Partial Dismissal, approved by the District Court of the Southern District of New York, to dismiss in their entirety, charges filed by the SEC against two of the Ripple defendants for engaging in unregistered distribution of securities in violation of Securities Act.

A New York bank settled charges with the Federal Reserve Board and New York Department of Financial Services for supervisory and Bank Secrecy Act compliance deficiencies in connection with the bank’s issuance of prepaid card accounts

The Federal Reserve Board, the OCC and the FDIC extended until January 16, 2024 the comment deadline on proposed amendments that would substantially revise capital requirements for large banking organizations.

The CFPB proposed a rule to implement a section of the Consumer Financial Protection Act on consumer-authorized access to financial data, including "data about their use of checking and prepaid accounts, credit cards, and digital wallets."