A broker-dealer settled FINRA charges for failing to supervise several registered representatives who recommended potentially high-risk securities to customers without assessing suitability.

The SEC awarded approximately $20 million to a whistleblower who voluntarily provided significant information and continued helpful assistance that led to a successful SEC enforcement action.

An SEC rule requiring exchanges to establish listing standards that require issuers to develop and implement clawback policies for erroneously awarded compensation will take effect on January 27, 2023.

The SEC extended the period to approve a joint SRO proposal to implement a revised funding model for the consolidated audit trail and establish a fee schedule for Participant CAT fees.

An investment adviser settled SEC charges for failing to supervise its screening process for ESG investments.