The SEC requested comment to determine whether to approve or disapprove a proposed rule change by Cboe Exchange, Inc. to allow for extended trading sessions of multi-listed equity options.
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Consolidated Audit Trail, LLC, on behalf of numerous exchanges, proposed a "2025 Cost Savings Amendment" to the NMS Plan Governing the CAT to reduce operating costs by approximately $55 million to $73 million annually through various technical and operational restructurings.
The Office of the Comptroller of the Currency proposed to issue a determination that would preempt state laws that require national banks and federal savings associations to pay interest on mortgage escrow accounts or that restrict related fees.
A firm settled FINRA charges for willfully failing to file and deliver an accurate Form CRS to retail investors.
A firm settled FINRA charges for issuing inaccurate trade confirmations to institutional customers and for related supervisory failures.