The CFTC sued a centralized digital asset exchange for dealing in off-exchange commodity derivatives without proper registration or compliance with U.S. regulations.
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FINRA adopted amendments to provide margin relief for specified index option positions, referred to as "protected options."
The Congressional Research Service reviewed the Policy debates over rebates that retail brokerage firms receive for directing retail investor stock trades to certain venues, known as "payment for order flow."
The SEC extended to March 15, 2024 the period for consideration on FINRA-proposed amendments to margin requirements for certain short options.
The CFTC charged multiple entities for falsely claiming to be registered with the CFTC and NFA in connection with commodities offerings.