FINRA executives highlighted risks firms face with generative AI and large language models and how FINRA is approaching these challenges.
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The SEC adopted amendments to Regulation NMS Rule 605 to require "market centers," to make available standardized, monthly reports of statistical information concerning order executions in national market systems stocks.
A cryptocurrency exchange settled charges for failing to register with the SEC as a "dealer" in securities.
The SEC extended consideration of a proposed rule change to shorten the time allowed for post-trade reporting of debt securities. The date to approve or disapprove the proposed rule was extended to April 24, 2024.
A firm settled FINRA charges for failing to maintain minimum net capital and for failing to file same-day notifications of its net capital deficiencies.