A broker-dealer settled NYSE Arca charges for failing to apply erroneous order controls in connection with the execution of a customer order.

The SEC awarded more than $20 million to a whistleblower who voluntarily provided original information that led to a successful SEC enforcement action.

The DOJ, the SEC and the CFTC filed actions against FTX and its founder Samuel Bankman-Fried for defrauding U.S.-based and foreign investors, which resulted in billions of dollars in losses and missing customer funds.

Comments on a CFTC comparability determination for capital and financial reporting requirements applicable to Mexico-based CFTC-registered swap dealers are due by February 13, 2023. The notice was published in the Federal Register.

The CFPB proposed to establish and maintain a registry designed to collect information about certain public agency and court orders.