A broker-dealer settled charges with FINRA and NYSE Arca for over-tendering shares into partial tender offers.

FINRA proposed extending temporary relief to allow firms to satisfy their office and location inspection requirements remotely through the first half of calendar year 2024.

A firm settled charges with FINRA for inaccurately reporting 600,000 transactions to the Trade Reporting and Compliance Engine due to its failure to include a "No Remuneration" indicator.

A broker-dealer settled charges with FINRA and multiple exchanges for failing to properly surveil its client broker-dealers for potential manipulative trading.

FINRA updated its Regulatory Extension system to support broker-dealers' transition to the shortened standard settlement cycle from two business days (T+2) to one business day (T+1).