Comments on proposed amendments to the Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission are due by March 31, 2023.

The Financial Information Forum urged FINRA to adopt a FINRA proposed version of TRACE reporting requirements for delayed Treasury spot trades.

In a supplemental Comment Letter in response to a FINRA proposed rulemaking on disclosure of order routing information, the Financial Information Forum offered recommendations on how execution venues can satisfy the reporting requirements for trade messages sent through, and quotes posted on, an inter-dealer quotation system for OTC Equity Securities.

The CFTC Market Participants Division granted relief to extend the timeframe for a limited-purpose swap dealer to file certain financial reports.

A dually-registered broker-dealer and investment adviser settled SEC charges for providing unsuitable recommendation on complex variable interest rate structured products to investors nearing retirement age.