The Financial Stability Oversight Council finalized interpretive guidance and an analytical framework for designating nonbank financial companies for regulation.

SEC Commissioner Mark T. Uyeda highlighted current regulatory challenges concerning (i) the definition of "dealer" under the Exchange Act, (ii) the lack of guidance over cryptocurrencies and (iii) the handling of off-channel communications by broker-dealers.

The SEC set a comment deadline of January 5, 2024 for a proposed rule that would prohibit national securities exchanges from offering volume-based transaction pricing. The comment deadline was published in the Federal Register.

The CFTC proposed changing the types of investments that futures commission merchants and derivatives clearing organizations can make using customer funds.