FINRA set an effective date of May 22, 2024 for final amendments to FINRA requirements on "to-be-announced" and other "Covered Agency Transactions."

In an amicus curiae brief, the SEC supported the right of a beneficial owner to bring a claim involving short-swing profit trading.

A broker-dealer settled FINRA charges for inaccurately reporting information pertaining to its handling of customers' orders in National Market System securities.

A building materials company settled potential civil liability for violations of the Iranian Transactions and Sanctions Regulations.

The Congressional Research Service reviewed the proposed "Financial Innovation and Technology for the 21st Century Act," a bill that would create significant changes to the way digital assets are regulated.