The SEC revised the Electronic Data Gathering, Analysis and Retrieval Filer Manual to ensure electronic submissions conform to SEC adopted rules on initial public offerings by special purpose acquisition companies and to add to the taxonomy used for cybersecurity disclosures.

A members-only club settled SEC charges for conducting an unregistered public offering of crypto asset securities in the form of non-fungible tokens.

The US Court of Appeals for the District of Columbia Circuit ordered an administrative stay of a District Court decision to vacate a CFTC Order prohibiting a DCM from listing its congressional control contracts for trading.

A firm settled FINRA charges for (i) failing to supervise unsuitable short-term trading of syndicate preferred stocks, closed-end funds and medium-term notes and (ii) allowing representatives to profit from repeated short-term trades that led to customer losses.

The Federal Reserve, FDIC and OCC extended the comment period on their Request for Information on bank-fintech arrangements. Comments are now due on or before October 30, 2024.