A broker-dealer settled charges with the SEC for mismarking millions of short- and long-sale orders.

A broker-dealer settled SEC charges for reporting incomplete and inaccurate securities trading information on required electronic blue sheet submissions.

An investment adviser for private funds settled charges with the SEC for breach of fiduciary duty related to undisclosed account fees, transfers and accessibility.

The CFTC Division of Market Oversight extended no-action relief from the ownership and control reporting requirements for reporting entities.

A comment deadline of November 21, 2023 was published in the Federal Register for proposed amendments to the EDGAR system, which would require each electronic filer to authorize an account administrator to manage their account.