The SEC proposed a rule that would prohibit national securities exchanges from offering volume-based transaction pricing to broker-dealers executing agency or riskless principal orders in NMS stocks.

The CFTC Division of Enforcement provided additional guidance to staff when proposing resolutions in enforcement actions. The guidance is intended to ensure resolutions that achieve deterrence and minimize future misconduct.

The FDIC set a comment deadline of December 11, 2023 for proposed governance and risk management guidelines that would apply to all state insured depository institutions with assets of $10 billion. The comment deadline was published in the Federal Register.

The Congressional Research Service described regulatory policy and financial stability concerns regarding hedge fund activities.

Federal Reserve Board Governor Michelle W. Bowman questioned whether the potential benefits of a U.S. central bank digital currency are worth the significant risks and tradeoffs for the financial system.