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."
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The CFTC charged multiple entities for falsely claiming to be registered with the CFTC and NFA in connection with commodities offerings.
A firm settled charges with NYSE American and NYSE Arca for processing equity transactions in underlying securities after becoming aware of undisclosed terms and conditions of customer options orders.
SEC Commissioner Caroline A. Crenshaw responded to reports that retail investors may be unable to exercise put options purchased on Silicon Valley Bank and Signature Bank stock.
A broker-dealer settled NYSE Arca charges for (i) failing to obtain customer consent prior to adjusting an options trade, (ii) executing the trade at terms that the customer had said were not acceptable and (iii) recordkeeping failures.