A broker-dealer settled SEC charges for failing to file Suspicious Activity Reports on "suspicious transactions that were executed on its Alternative Trading System."

A broker-dealer and its chief compliance officer settled charges with NYSE American LLC for improperly booking trades and for allowing an employee to send text messages that were not retained by the firm.

The D.C. Court of Appeals vacated the SEC's disapproval of NYSE Arca's proposal to allow the listing and trading of shares of Bitwise Bitcoin ETP Trust and Grayscale Bitcoin Trust, both of which held bitcoin.

SEC Chief Accountant Paul Munter reminded management and auditors of their obligations to take a "holistic approach" when evaluating the effectiveness of issuers' internal controls over financial reporting.

FINRA will sponsor a production User Acceptance Test on September 9, 2023 for firms required to report transactions on TRACE involving foreign sovereign debt securities.