A broker-dealer/investment adviser settled charges with the SEC for violating recordkeeping requirements in connection with its recording of expenses incurred from the broker-dealer's underwriting activities.

FIA offered recommendations on CFTC-proposed amendments to large trader position requirements to address outstanding issues and "promote the transparency and quality of data."

The SEC reopened and extended the comment deadline until October 30, 2023 on a proposal to significantly amend and redesignate the Advisers Act "Custody Rule," expanding its requirements.

The Federal Reserve Board and the FDIC proposed guidance for certain domestic and foreign institutions to clarify expectations on the development of orderly resolution plans under the U.S. Bankruptcy Code.

The OCC, the Federal Reserve Board and the FDIC proposed long-term debt requirements for large banking entities, holding companies, foreign banking organizations and large insured depository institutions to facilitate resolvability in the event of failure and to reduce the risk of contagion within the financial system.