A self-clearing broker-dealer settled FINRA charges that it failed to report roughly 2.7 million fractional-share trades over three years.

A broker settled FINRA charges for failing to catch suspicious or potentially manipulative trading in thinly traded, low-priced stocks.

The CFTC asked market participants to identify rules, guidance, orders, and no-action letters that may unduly impede fintech firms from working in the derivatives markets.

The OCC confirmed that the National Bank Act preempts state money transmitter licensing requirements.

State attorneys general urged Congress to reject a recently introduced federal consumer privacy bill, arguing that the bill's broad preemption language would effectively nullify stronger existing state privacy protections.