A brokerage firm settled charges with NYSE American LLC for failing to execute an options trade at the best available price.

A broker-dealer settled FINRA charges for failing to assess the suitability of margin use in customer accounts and to monitor for excessive margin trading.

A broker-dealer settled FINRA charges for failing to supervise several registered representatives who recommended potentially high-risk securities to customers without assessing suitability.

The SEC awarded approximately $20 million to a whistleblower who voluntarily provided significant information and continued helpful assistance that led to a successful SEC enforcement action.

An SEC rule requiring exchanges to establish listing standards that require issuers to develop and implement clawback policies for erroneously awarded compensation will take effect on January 27, 2023.