A broker-dealer settled FINRA charges for making material changes to its ownership structure without obtaining the regulator's approval.

A broker-dealer settled FINRA charges for selling interests in securities without disclosing material information as to issuer delays in filing audited financial statements.

OFAC issued preliminary guidance on the implementation of a price cap policy related to the partial ban on the import of petroleum products originating from the Russian Federation.

The SEC opened a new comment period to consider whether to approve a joint SRO-proposed amendment to revise the Consolidated Audit Trail Reporter Agreement and the Consolidated Audit Trail Reporter Agent Agreement.

Comments on an SEC proposal amending Regulation NMS to adopt certain minimum pricing increments for the quoting and trading of NMS stocks are due by March 31, 2023.