The Congressional Research Service reviewed federal and state efforts to regulate cryptocurrencies and highlighted related policy issues.

A broker-dealer settled FINRA charges for failing to disclose the disciplinary history of the firm and the disciplinary history of several of its representatives as required by Form CRS.

A broker-dealer settled FINRA and Nasdaq charges for routing to the market several erroneous orders.

A broker-dealer settled FINRA charges for submitting customer relationship summaries that contained inaccurate information on disciplinary history.

A broker-dealer settled FINRA charges for failing to timely deliver customer relationship summaries to retail customers and failing to have adequate written supervisory procedures to ensure compliance with Regulation Best Interest.