The effective date for SEC amendments to Exchange Act Rule 10b5-1 is February 27, 2023.

A broker-dealer settled FINRA charges for selling limited partnership interests in securities without disclosing that the issuer failed to timely file an audited financial statement.

The SEC Division of Corporation Finance granted an India-based entity no-action relief from certain Exchange Act tender offer requirements to allow for compliance with applicable Indian law.

A FINRA-registered alternative trading system settled charges for failing to preserve memoranda on more than 95 million orders received from broker-dealer customers.

The FDIC and Federal Reserve Board amended the asset-size thresholds used to define "small bank" and "intermediate small bank" under Community Reinvestment Act regulations.