The SEC set an effective date of January 2, 2024 for new Exchange Act requirements for reporting on certain short positions in equity securities and related trading activity.

An introducing broker settled charges with the National Futures Association for failing to comply with recordkeeping requirements and to ensure proper registration of individuals.

U.S. President Joseph R. Biden issued an Executive Order establishing safety and security standards for artificial intelligence.

SEC Commissioner Hester M. Peirce criticized the SEC for pursuing a federal case against a crypto asset company for registration failures which ultimately resulted in the "demise of the company."

FINRA proposed rule amendments for broker-dealers to establish a short-form membership application process and partial fee waiver for certain firms applying for FINRA membership. The proposal follows recent SEC rule changes that require firms that trade only on exchanges to become members of FINRA.