A broker-dealer settled FINRA charges for inaccurately reporting information pertaining to the routing of non-directed orders in national market system securities.

An investment adviser settled SEC charges for engaging in numerous principal trades without first making the necessary disclosures and obtaining the client's consent.

CFTC Chair Rostin Behnam considered trends in the U.S. Treasury market amidst levels of extreme volatility coupled with record trading volume on global platforms.

The DOL announced a final rule allowing ERISA plan fiduciaries to consider environmental, social and governance factors when selecting investments and exercising certain shareholder rights.

Director of the Office of Financial Research James Martin described the use of data-driven analytics to identify and address risks posed by the growth in the digital asset markets and by climate change.