A decentralized autonomous organization and its two founders agreed to settle SEC charges for failing to register the offer and sale of structured crypto asset securities.

The SEC designated February 7, 2024 as its new deadline to act on FINRA proposed amendments to the Trade Reporting and Compliance Engine rules. The amendments would require FINRA to disseminate information on certain Treasury security transactions.

A broker-dealer settled FINRA charges for failing to disclose material information to investors when selling certain limited partnership interests in a private placement.

Representative Patrick McHenry, Chair of the House Financial Services Committee, demanded a delay to the January 1, 2024 effective date for FinCEN's final rule on the reporting of beneficial ownership information.

The New York State Department of Financial Services issued guidance for financial institutions on the "management of material financial and operational risk from climate change."