In its 2023 Examination and Risk Monitoring Program Report, FINRA added four topics not included in last year's report: (i) manipulative trading, (ii) fair pricing of fixed income securities, (iii) fractional shares and (iv) Regulation SHO.

Federal Reserve Board Governor Michelle W. Bowman summarized her views on monetary policy, cryptocurrencies, payment systems, climate-related risk and updating the Community Reinvestment Act.

The SEC named Cristina Martin Firvida as the next Director of the SEC Office of the Investor Advocate. Her term is set to begin on January 17, 2023.

A broker-dealer settled FINRA charges for failing to preserve business-related text messages sent by its registered representatives on firm-issued iPhones using Apple's iPhone-to-iPhone messaging system.

As part of the administration's Fall 2022 Unified Agenda of Regulatory and Deregulatory Actions, the CFTC provided a detailed list of all the rules that it is considering over the next year.