The SEC charged five unregistered broker-dealers and four unregistered investment companies with deceptive pre-initial public offerings.

The SEC set an effective date of February 5, 2024 for amendments establishing new governance requirements aimed at reducing the likelihood that conflicts of interest influence a clearing agency's board of directors.

In testimony before the House Financial Services Committee, Federal Reserve Board Director, Division of Supervision and Regulation Michael S. Gibson described the FRB's approach to the supervision and regulation of innovation.

FINRA collated SEC staff bulletins and FINRA resources to improve member compliance with Regulation Best Interest.

FINRA settled charges with four firms for misrepresentations and supervision failures on their "fully paid securities lending" programs.