A broker-dealer settled NYSE Arca charges for (i) failing to obtain customer consent prior to adjusting an options trade, (ii) executing the trade at terms that the customer had said were not acceptable and (iii) recordkeeping failures.

The MSRB proposed a rule change to extend the time period to January 31 to annually affirm the information on Form A-12, the MSRB's consolidated electronic registration form.

FINRA proposed adding conditions on a rulemaking to adopt a voluntary three-year pilot program that would allow broker-dealers to conduct annual office inspections remotely.

The DOJ, the SEC and the CFTC charged the Alameda Research CEO and the FTX Chief Technology Officer in schemes to defraud FTX's customers and investors.

FTC is seeking to block Microsoft Corporation's acquisition of Activision Blizzard, Inc., claiming the acquisition may lessen competition or create a monopoly in interstate trade and commerce in the relevant markets.