An SEC rule requiring exchanges to establish listing standards that require issuers to develop and implement clawback policies for erroneously awarded compensation will take effect on January 27, 2023.

The SEC extended the period to approve a joint SRO proposal to implement a revised funding model for the consolidated audit trail and establish a fee schedule for Participant CAT fees.

An investment adviser settled SEC charges for failing to supervise its screening process for ESG investments.

A virtual currency exchange settled OFAC charges for violating the Iranian Transactions and Sanctions Regulations.

The effective date for SEC amendments designed to tailor mutual fund and ETF disclosures to the needs of retail investors will be January 24, 2023. The amendments update the standards of information required in annual and semiannual reports.