A dually-registered broker-dealer and investment adviser settled SEC charges for failing to disclose (i) conflicts of interest arising from revenue sharing agreements in place with its clearing brokers and (ii) its disciplinary history.

CFTC Commissioner Christy Goldsmith Romero offered recommendations to the crypto industry on ways to rebuild public trust following the collapse of several crypto exchanges.

Comments on an SEC proposal to update the disclosures required for order executions in NMS stocks are due by March 31, 2023.

The SEC Division of Trading and Markets issued two new FAQs related to electronic recordkeeping requirements.

The SEC awarded three whistleblowers approximately $18 million for providing material information that culminated in a successful enforcement action.