The SEC adopted amendments to Regulation NMS Rule 605 to require "market centers," to make available standardized, monthly reports of statistical information concerning order executions in national market systems stocks.
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The SEC fined a broker-dealer and its former executive for disclosing confidential information in advance of block sales of securities.
The SEC set an effective date of January 2, 2024 for new Exchange Act requirements for reporting on certain short positions in equity securities and related trading activity.
The SEC granted exemptive relief to broker-dealers from requirements on the publication of quotations for fixed-income securities sold in compliance with rules on private resales of securities to institutions.
In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.