The Congressional Research Service reviewed the impact of U.S. financial, sectoral, individual and governmental sanctions imposed on Venezuela.

The SEC extended to March 15, 2024 the period for consideration on FINRA-proposed amendments to margin requirements for certain short options.

The SEC adopted final rules on (i) the mandatory clearing of transactions in Treasury securities and (ii) the application of the broker-dealer customer protection rule to Treasury securities.

A dually registered broker-dealer/investment adviser agreed to pay $18 million for violating the whistleblower protections rule by requiring that clients sign release forms prior to receiving settlements.

The CFTC proposed amendments to rules that impose minimum capital requirements and financial reporting obligations on swap dealers and major swap participants.