CFTC staff granted additional no-action relief from certain CFTC swap data reporting requirements relating to LIBOR transition.

A broker-dealer settled FINRA charges for omitting material facts in communications with customers and failing to supervise recommendations on "complex products".

On July 3, 2023, the SEC's relief for broker-dealers from investment adviser regulation in connection with the provision of research to EU investment managers expired. SEC Commissioner Mark T. Uyeda urged the SEC to engage in a "holistic review of the regulatory framework for investment research."

In its submission of a required report to the Senate Banking Committee and the House Financial Services Committee, the SEC Investor Advocate outlined policy objectives for fiscal year 2024.

The SEC set an effective date of August 29, 2023 for final rules aimed at preventing fraud and manipulation involving security-based swaps transactions. The new rules include an amendment to prohibit undue influence on security-based swap dealers' chief compliance officers.