The Treasury's Office of Terrorist Financing and Financial Crimes identified illicit finance risks posed by decentralized finance and offered recommendations to close regulatory gaps and mitigate those risks.

Comments on an SEC proposal to amend regulations on consumer financial privacy and information safeguards ("Reg S-P") are due by June 5, 2023.

A broker-dealer settled FINRA charges for accepting market orders for newly issued shares prior to the commencement of trading those shares on the secondary market.

In a "Consumer Compliance Supervisory Highlights" Report, the FDIC summarized the results of consumer compliance examinations of supervised institutions in 2022 and offered recommendations to strengthen compliance management systems.

A broker-dealer settled FINRA charges for mismarking nearly 60 million short sale orders as “long.”