The SEC approved a FINRA proposal to establish new order routing disclosure report publication requirements for OTC and National Market System equity securities orders.

Senate Banking Committee Chair Sherrod Brown (D-OH) and Senators Elizabeth Warren (D-MA), Jack Reed (D-RI) and John Fetterman (D-PA) urged the Federal Reserve Board to review its approach to bank merger policies to better assess their impact on financial stability and avoid repeating mistakes that led to recent bank failures.

The SEC set a comment deadline of October 10, 2023 for a proposed rulemaking that would require broker-dealers and investment advisers to eliminate conflicts of interest associated with the use of predicative data analytic technologies.

GAO urged the FDIC, the OCC and the SEC to implement fully previous recommendations on blockchain technology-related risks and take joint action to coordinate related information and processes.

The SEC and the CFTC ordered significant civil monetary penalties for recordkeeping violations in connection with unauthorized off-channel communication methods.