An investment adviser settled SEC charges for failing to disclose to clients deficiencies in the adviser's automated tax-loss harvesting service.

A firm settled separate charges with FINRA and Nasdaq for surveillance failures over potentially manipulative trading by a customer subject to heightened supervision.

The SEC named Deborah J. Jeffrey the agency's new Inspector General, effective May 7, 2023.

The Financial Information Forum reiterated its opposition to a FINRA proposal requiring new order-routing disclosures for OTC and National Market System equity securities orders.

In testimony before the House Financial Services Committee, SEC Chair Gensler highlighted regulatory initiatives on equity markets and private funds, artificial intelligence and predictive data analytics, crypto assets, and climate change disclosure.