FINRA summarized oversight findings drawn between 2021and 2023 by its Member Supervision, Market Regulation and Enforcement programs.
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SEC Chair Gary Gensler identified areas of noncompliance in the securities markets, advocating for holding bad actors accountable by "prosecut[ing] dishonesty."
In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
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.