The Board of Governors of the Federal Reserve adopted new operational risk management requirements for systemically important designated clearing organizations.
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In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
A broker-dealer settled FINRA charges for failing to maintain adequate market access risk management controls.
The SEC set a new comment deadline of June 13, 2023 for a proposal that would amend the statutory definition of "exchange" to include trading systems that facilitate the trading of crypto asset securities.
The SEC reopened the comment period for a proposal that would amend the statutory definition of "exchange" to include trading systems that facilitate the trading of crypto asset securities.