An IT company and its former CFO settled SEC charges for failing to disclose (i) accrued liability related to a dissenting shareholder appraisal action, and (ii) two related party transactions.

A broker-dealer settled NYSE American charges for failing to maintain accurate records for options orders.

A futures commission merchant settled CFTC charges for failing to (i) implement an adequate AML program, (ii) impose risk-based trading position limits on a customer's accounts and (iii) maintain customer records for a substantial period of time.

Comments on FTC's Guides for the Use of Environmental Marketing Claims are due by February 21, 2023.

The CFTC Division of Clearing and Risk extended temporary no-action relief to derivatives clearing organizations from certain reporting requirements.