The SEC approved FINRA's proposal to expand the scope of the current exemptions from trade reporting obligations for trades effected on an alternative trading system where the current rules result in duplicative reporting.

A broker-dealer settled NYSE Arca, Inc. charges for the improper allocation of trades.

In a new report, the GAO examined federal responses to two cybersecurity incidents : the hack of SolarWinds and the exploitation of a vulnerability in Microsoft Exchange.

The National Credit Union Administration highlighted supervisory priorities for the 2022 examination program.

The OCC solicited comments on the renewal of its "LIBOR Self-Assessment" tool.