A multinational HVAC manufacturer settled OFAC charges for violating multiple sanctions regulations and the International Emergency Economic Powers Act.

Comments on an SEC proposal amending Regulation NMS to prohibit restricted competition trading centers from executing segmented orders for NMS stocks internally unless the order was first subject to competition in a qualified auction are due by March 31, 2023.

In a report prepared by House Financial Services Committee Majority Staff, Chair Maxine Waters (D-CA) highlighted Committee priorities and legislative efforts undertaken during the 116th and 117th Congresses.

A broker-dealer settled FINRA charges for making material changes to its ownership structure without obtaining the regulator's approval.

A broker-dealer settled FINRA charges for selling interests in securities without disclosing material information as to issuer delays in filing audited financial statements.