The SEC set a compliance date of April 13, 2023 by which certain financial forms related to the proposed sale of securities must be filed electronically through the EDGAR and IARD systems.

OFAC issued a Finding of Violation to a Puerto Rico-based international bank for violating Venezuela Sanctions Regulations and OFAC Reporting Regulations.

In the U.S. District Court for the Eastern District of New York, a France-based building materials manufacturer pleaded guilty to one count of conspiring to provide material support and resources to two U.S.-designated foreign terrorist organizations.

A broker-dealer settled FINRA charges for failing to accurately report non-broker-dealer customers' transactions to the Trade Reporting and Compliance Engine.

Comments on 11 SEC proposed rulemakings and one Request for Information that were reopened for public input are now due by November 1, 2022.