A publicly traded special purpose acquisition company settled SEC charges relating to internal control failures that allowed its CFO to control and access its operating account with "little or no oversight."

A broker-dealer settled NYSE charges for failing to implement adequate credit limit and erroneous order controls.

A broker-dealer and its CEO settled FINRA charges for associating with an individual who was subject to statutory disqualification and permitting that individual to engage in activities that required registration as a Municipal Securities Representative.

A broker-dealer settled FINRA charges for conducting a securities business while failing to maintain the required minimum net capital and failing to timely file notices of net capital deficiency with the SEC and FINRA.

The Congressional Research Service reviewed the SEC's recent proposal that would impact payment for order flow ("PFOF") by wholesalers with the aim of "bring[ing] greater competition in the marketplace for retail market orders."