The SEC adopted amendments to narrow the scope on a broker-dealer exemption from FINRA membership.

The Congressional Research Service reviewed federal authority over financial institution insolvency and the response to the failures of Silicon Valley Bank, Signature Bank and First Republic Bank.

The Congressional Research Service reviewed the lifecycle of the meme stock Meta Materials to give policymakers context for a trading halt placed by FINRA on December 9, 2022.

A transfer agent settled SEC charges for "fail[ing] to exercise reasonable care to ascertain the correct address of lost securityholders" and allowing those securityholders' assets to be "handed over to state governments – escheated – as unclaimed assets."

An investment adviser settled charges for making misleading statements in advertisements based on hypothetical performance.