The SEC requested comment on approval of a clearing agency's new risk management policies under Securities Exchange Act rules on clearance and settlement of securities transactions.

A firm settled Cboe Exchange, Inc. charges for failing to maintain an adequate supervisory system to monitor for potentially manipulative trading.

The Financial Crimes Enforcement Network issued a final rule postponing the effective date of a 2024 rule establishing AML/CFT program and SAR filing requirements for SEC-registered investment advisers and exempt reporting advisers.

FINRA proposed a rule change to amend its Consolidated Audit Trail reporting requirements to align with recent amendments to the CAT NMS Plan on short sale exceptions.

The SEC requested comment to determine whether to approve or disapprove a proposed rule change by Cboe Exchange, Inc. to allow for extended trading sessions of multi-listed equity options.