A firm settled FINRA charges for failing to timely and accurately submit restricted period and trading-related notifications.

The SEC requested comment on approval of a clearing agency's new risk management policies under Securities Exchange Act rules on clearance and settlement of securities transactions.

A firm settled Cboe Exchange, Inc. charges for failing to maintain an adequate supervisory system to monitor for potentially manipulative trading.

The Financial Crimes Enforcement Network issued a final rule postponing the effective date of a 2024 rule establishing AML/CFT program and SAR filing requirements for SEC-registered investment advisers and exempt reporting advisers.

FINRA proposed a rule change to amend its Consolidated Audit Trail reporting requirements to align with recent amendments to the CAT NMS Plan on short sale exceptions.