SEA 1934

FINRA enforcement activity covering October 3 – 9.

FINRA enforcement activity covering September 26 – October 2.

FINRA enforcement activity covering September 5 – September 25.

With the CLARITY Act blocked, the Commission is granting temporary and conditional exemptive relief for on-chain securities trading.

Anthony J Cataldo, who was accused of diverting millions in company funds, agreed to settle fraud allegations for a fraction of the amount regulators say he stole.

Two cases demonstrate a focus on clear antifraud violations supported by strong data trails and involving conduct with direct investor harm.

Disciplinary decisions issued October 25 – 31, 2025.

The move streamlines exchange-traded product listings, paving way for faster approval of digital asset and commodity funds, but shifting oversight burdens to exchanges.