An entertainment company settled charges with the SEC for offering and selling non-fungible tokens without registering with the SEC.

Several banking associations urged the Federal Reserve Board, the FDIC and the OCC to make public all data and analyses used to develop the recently proposed amendments on capital requirements for large banking organizations.

CFTC staff extended no-action relief on the treatment of separate accounts by futures commission merchants until the earlier of June 30, 2024 or the effective date of any final CFTC action regarding its risk management regulations.

A broker-dealer settled charges with FINRA and multiple exchanges for failing to properly surveil its client broker-dealers for potential manipulative trading.

Nine investment advisers settled separate charges with the SEC for advertising hypothetical performance on their websites without ensuring that the information was relevant to their intended audiences.