Comments on a Treasury Department Office of Financial Research proposal to require certain institutions to submit daily reports on outstanding non-centrally cleared bilateral repurchase agreement transactions are due by March 10, 2023.

SIFMA requested that the DOL withdraw proposed amendments to a prohibited transaction class exemption. SIFMA argued that the amendments to the "QPAM Exemption" would impede access to markets and are unnecessarily burdensome and costly.

The former CEO of a multinational fast-food chain settled SEC charges for failing to disclose materially relevant information during an internal investigation that resulted in his termination.

A broker-dealer settled FINRA charges for (i) deficient filing of Large Options Position Reporting system ("LOPR") and (ii) establishing certain options positions that exceeded OTC position limits.

A broker-dealer settled FINRA charges for failing to notify investors of two separate extensions of the offering termination date of a contingency private placement offering.