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."

A broker-dealer settled FINRA charges for failing to make accurate reports of OTC options to the Large Options Positions Reporting system.

FINRA set an effective date of August 23, 2023 for rule amendments to make permanent COVID-related procedural relief that will allow video conference hearings before the Office of Hearing Officers and the National Adjudicatory Council.

A host of trade associations, including SIFMA and the Managed Funds Association, asked the SEC to extend the comment deadline for a proposed rulemaking on the use of predicative data analytics technologies.