U.S. President Joseph R. Biden urged Congress to "impose tougher penalties for senior bank executives whose mismanagement contributed to their institutions failing." He is expected to announce Administration actions to address the financial fallout of the recent bank failures today.

A broker-dealer settled FINRA charges for mismarking principal short sell orders and failing to locate shares available for borrowing in connection with riskless principal transactions.

A broker-dealer settled FINRA charges for failing to register third-party workers.

The SEC filed charges against a water technology company and a former finance director for fraudulent accounting practices that resulted in material misstatements on its reported revenue at the time of the Company’s initial public offering.

Congressional Research Service reviewed the various benefits and risks of FinTech products and services on consumer accounts, electronic payment and lending.