FINRA filed a proposed rule change with the SEC to implement a three-year pilot program to allow member firms to meet their internal inspections obligations without the need for on-site visits to an office or location.

SEC Commissioner Hester M. Peirce offered guiding principles to address concerns about the implementation of the structured data requirements in the Financial Data Transparency Act.

A swap dealer settled CFTC charges relating to a failure to disclose the pre-trade-mid-market-mark ("PTMMM") of equity index swaps.

The Congressional Research Service highlighted policy issues implicated by the FDIC’s guarantee of uninsured deposits of Silicon Valley Bank and Signature Bank under the systemic risk exception to least-cost resolution requirement.

Comments on an MSRB amendment proposed amendment to Rule G-40 that would allow for the use of testimonial statements in municipal advisor advertisements are due by April 26, 2023.