The OCC, FRB and FDIC requested comment on a set of rules as part of a process to identify "outdated" or "unnecessary" regulatory requirements on insured depository institutions and their holding companies.

The SEC adopted two new rules under the Securities Exchange Act to further define the term "as a part of a regular business." The new rules expand the scope of firms that are required to register as broker-dealers and as government securities broker-dealers.

The CFTC extended the comment deadline to March 18, 2024 for a proposed rule to improve the protection of funds and assets pledged by clearing members of a Derivative Clearing Organization.

The PCAOB found that there is a need for significant improvement in the quality of broker-dealer "audits and attestation engagements."

In an Investor Insight article, titled: "Understanding Settlement Cycles: What Does T+1 Mean for You?" FINRA advised retail customers who do not currently keep their cash and securities with their broker-dealer, to deliver assets required for settlement by the day following trade date.