A broker-dealer settled FINRA charges for failing to implement an AML program "designed to detect and cause the reporting of suspicious cyber-events."

Investment Funds Statistics Report, IOSCO published the results of a survey of its members in the asset management industry. The Report contains information on leverage, aggregate liquidity profiles, counterparty risk, borrowing risk, and collateral needs.

CFTC Commissioner Kristin N. Johnson called for expanded authority over digital asset entities.

Comments on an SEC proposal to establish a best execution regulatory framework for broker-dealers, government securities broker-dealers and municipal securities dealers are due by March 31, 2023.

Three affiliated broker-dealers settled FINRA charges for failing to supervise the use of certain sales charge waivers when rolling over customer tax-advantaged state-sponsored securities plans from one state to another.