SEC Division of Trading and Markets staff issued FAQs concerning substituted compliance requirements for Chief Compliance Officers of security-based swap dealers and the opinions and certifications that non-US swap dealers must file with the SEC.

The CFPB adopted a rule that establishes a registry to track nonbank covered persons who repeatedly break consumer protection laws.

President Biden vetoed H.J.Res.109, a congressional resolution of disapproval on SEC Staff Accounting Bulletin No. 121.

The US District Court for the Southern District of Texas entered a final judgment against an individual for trading on nonpublic information obtained from his then-wife, prior to a corporate acquisition.

In February 2024, the SEC adopted two new rules requiring certain market participants to register with the SEC as broker-dealers. In an updated comment memorandum, US Regulatory Intelligence reviewed the rule, the consequences and numerous legal questions raised.