FINRA suspended a former broker for charging personal meals and car rides to her firm credit card and submitting them as business expenses.

SIFMA urged FinCEN and OFAC to clarify and narrow their proposed AML and sanctions rules for "permitted payment stablecoin issuers."

In a Risk Alert, the SEC Division of Examinations highlighted investment adviser obligations to disclose "economic conflicts of interest."

The FDIC plans to scale back its resolution-planning rule for large banks. Chair Travis Hill said the agency would reward those that can hand over key data quickly with lower deposit-insurance assessments.

FINRA clarified how its rules apply to transaction-based compensation tied directly to personal services entities without the entities registering as broker-dealers.