In a 2023 Capital Raising Annual Report, the SEC Small Business Advocacy Office analyzed data and reviewed policy recommendations in support of small businesses and investors.

The CFTC proposed revisions to Part 43 and Part 45 of its regulations regarding swaps reporting for continued geographic masking, international harmonization and other non-substantive changes.

A Connecticut-based commodities firm settled CFTC charges for trading on misappropriated material non-public information.

The MSRB proposed a rule change "to promote the completion of allocations, confirmations, and affirmations by the end of trade date for transactions in municipal securities between brokers, dealers and municipal securities dealers and their institutional customers."