A broker-dealer settled FINRA charges for mismarking nearly 60 million short sale orders as “long.”

The DOJ seized the online platform "Genesis Market," describing it as “one of the world’s largest illicit marketplaces” selling stolen account access credentials to cybercriminals on a global scale. In a coordinated action, OFAC designated the online marketplace on the Specially Designated Nationals and Blocked Persons Lists.

Comments on an SEC proposal that would create new cybersecurity risk management and disclosure requirements are due by June 5, 2023.

The SEC and the DOJ charged three executives of a shipbuilding company for fraudulently overstating revenues and earnings to investors.

The SEC Division of Corporation Finance granted no-action relief to an exchange-traded fund trust for transactions involving "subject securities" and "related securities" outside of a tender offer.