A broker-dealer settled FINRA charges for publishing inaccurate data in required monthly reports on order execution quality.

CFTC Chair Rostin Behnam outlined the CFTC's 2023-2024 rulemaking agenda, which focuses on (i) enhancing risk management and investor protections, (ii) facilitating responsible innovation, (iii) the role of climate-related factors on commodity markets and (iv) expanding oversight over crypto markets.

The SEC Division of Investment Management issued guidance on the use of fee waiver and expense reimbursement arrangements that result in differing advisory fees for different share classes of the same fund.

New House Financial Services Committee Chair Patrick McHenry (R-NC) established a Republican ESG Working Group to "combat the threat to our capital markets posed by those on the far-left pushing [ESG] proposals."

A video game development company settled SEC charges for (i) failing to implement controls to ensure that materially significant workplace complaints were reviewed and disclosed to investors, and (ii) violating SEC whistleblower protection requirements.