A broker-dealer settled FINRA charges for inaccurately reporting over 1 billion reportable order events to the Order Audit Trail System.

The U.S. District Court for the Northern District of Texas vacated an OFAC fine imposed against ExxonMobil for violating Ukraine-related sanctions.

The Secretary of the Treasury provided a limited exemption from qualified financial contract recordkeeping requirements to two broker-dealer subsidiaries of a financial services company.

The SEC charged a former part owner of a broker-dealer for inaccurate reporting and misleading statements that put the firm at risk of operating without the required net capital.

An individual settled SEC charges for trading on material, nonpublic information concerning an upcoming tender offer for a medical supply company.