The SEC named Cristina Martin Firvida as the next Director of the SEC Office of the Investor Advocate. Her term is set to begin on January 17, 2023.

A broker-dealer settled FINRA charges for failing to preserve business-related text messages sent by its registered representatives on firm-issued iPhones using Apple's iPhone-to-iPhone messaging system.

As part of the administration's Fall 2022 Unified Agenda of Regulatory and Deregulatory Actions, the CFTC provided a detailed list of all the rules that it is considering over the next year.

Comments on a Treasury Department Office of Financial Research proposal to require certain institutions to submit daily reports on outstanding non-centrally cleared bilateral repurchase agreement transactions are due by March 10, 2023.

SIFMA requested that the DOL withdraw proposed amendments to a prohibited transaction class exemption. SIFMA argued that the amendments to the "QPAM Exemption" would impede access to markets and are unnecessarily burdensome and costly.