Senate Finance Committee Chair Ron Wyden (D-OR) asked six cryptocurrency exchanges to provide information on their respective asset protection policies.

A brokerage firm settled charges with NYSE American LLC for failing to execute an options trade at the best available price.

A broker-dealer settled FINRA charges for failing to assess the suitability of margin use in customer accounts and to monitor for excessive margin trading.

A broker-dealer settled FINRA charges for failing to supervise several registered representatives who recommended potentially high-risk securities to customers without assessing suitability.

The SEC awarded approximately $20 million to a whistleblower who voluntarily provided significant information and continued helpful assistance that led to a successful SEC enforcement action.