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SEC, CFTC Seek Public Input on Data Reporting Frameworks for Security-Based Swap and Swap Markets Secure .gov websites use HTTPS A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

(submitted by FEND Securities Expert Witness)

FINRA fines firms $1.1M for alleged AML, supervisory violations involving low-priced securities | JD Supra On May 20, FINRA announced settlements requiring two member firms to pay more than $1.1 million over alleged AML and supervisory violations involving...

FinCEN and Banking Agencies Issue Joint Advisory on Non-Work-Authorized Populations and ITIN-Based Account Due Diligence On June 5, 2026, the Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”), jointly with the Federal Deposit Insurance Corporation…

Supreme Court rules FAA arbitration exemption may apply to workers who do not cross state lines | DLA Piper US Supreme Court decision in Flowers Foods v. Brock clarifies that the FAA Section 1 exemption may apply to workers engaged in intrastate segments of interstate commerce, raising new considerations for arbitration agreements in logistics and delivery operations.

U.S. jury finds investor Andrew Left guilty of securities fraud Authorities alleged Left manipulated the stock market and defrauded investors with misleading claims about his positions in stocks including Nvidia and Tesla.

(submitted by FEND Securities Expert Witness)

FINRA industry snapshot shows broker headcount growth as dual registration dominates Industry report shows that there are now fewer firms as consolidation intensifies.

US and EU roll out stricter due diligence rules US order shifts focus: President Trump’s May 19 order directs regulators to enhance customer due diligence, expand ownership transparency, and integrate immigration-related risk indicators. EU harmonizes PEP rules: The EU AML Regulation standardizes PEP definitions and prescribes stricter due dili...

Supreme Court holds that federal courts retain jurisdiction over post-award motions when claims were previously stayed under FAA Section 3 On May 14, 2026, the U.S. Supreme Court issued a unanimous decision in Jules v. Andre Balazs Props., No. 25-83, 2026 WL 1336216 (U.S. May 14, 2026). The Court held that when a federal district court stays a lawsuit and refers the dispute to arbitration pursuant to Section 3 of the Federal Arbitratio...

SEC Proposes Transformative Reforms to Help Public Companies Conduct Registered Offerings and Simplify Reporting Requirements Secure .gov websites use HTTPS A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

(submitted by FEND Securities Expert Witness)

FINRA Launches Review of Higher-Risk Structured Products FINRA will examine how firms supervised worst-of structured notes from 2022 through last year, focusing on best interest compliance