A broker-dealer settled charges with FINRA for excessive trading in accounts and incurring "substantial losses" for customers.
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The FTC proposed amendments to "redesign" the premerger notification process to improve the "efficiency and effectiveness" of the initial review process for certain mergers and acquisitions.
The CFTC set a comment deadline of August 28, 2023 on proposed amendments to large trader position reporting requirements for futures and options.
The Investor Advisory Committee reviewed draft recommendations on (i) single-stock exchange-traded funds, (ii) proposed amendments to certain reporting requirements and (iii) third-party oversight of investment advisers.
The CFTC proposed amendments to large trader position requirements for futures and options that would "modernize" how data is reported and expand the data to be reported.