The SEC approved proposed amendments submitted by participants of the National Market System Plan Governing the Consolidated Audit Trail to revise the plan's funding model and to establish a fee schedule.

Based on a study of 200 broker-dealers, NASAA found that firms are "still relying heavily" on suitability policies that predate Regulation Best Interest.

The CFTC set a comment deadline of November 6, 2023 on proposed amendments to rule filing requirements for various types of registered entities, including designated contract markets, derivatives clearing organizations, swap execution facilities and swap data repositories. The proposal was published in the Federal Register.

A private equity firm settled SEC charges for failing to adequately disclose certain fees paid to an affiliated real estate brokerage firm.

Several investment advisers settled SEC charges for custody violations on the assets of private funds. The SEC charged the firms for failing to comply with audit and reporting procedures that would have afforded an exemption from the applicable custodial requirements.