A firm settled charges with NYSE American and NYSE Arca for processing equity transactions in underlying securities after becoming aware of undisclosed terms and conditions of customer options orders.

A market-maker settled charges with NYSE American and NYSE Arca for exceeding its applicable position limits in securities trading.

An online broker-dealer settled charges with NYSE Arca for failing to timely process a reverse stock split causing customers to trade using inaccurate information.

The Congressional Research Service identified legislative policy options in light of news that executives of Silicon Valley Bank reaped “significant financial rewards” before the bank's failure.

A bipartisan group of Senators and Representatives urged FinCEN to amend the proposed reporting form that will be used to collect beneficial ownership information to adhere to congressional intent and ensure transparency.