A broker-dealer settled FINRA charges for failing to supervise two registered representatives who overcharged commissions to clients.

FINRA solicited comments on a prototype of a taxonomy-based machine-readable rulebook to assist users to more readily analyze and search the agency's rules. Comments are due by December 20, 2022.

SEC Commissioner Mark T. Uyeda emphasized the need for the SEC to follow standards of due process in creating rules, warning that procedural shortcuts will result in poor rulemaking and challenges under the Administrative Procedures Act.

The CFTC said it recouped over $2.5 billion in restitution, disgorgement and civil monetary penalties as a result of enforcement actions in fiscal year 2022.

FTC extended the comment deadline for a Request for Information on whether it should implement new trade regulation rules or other regulatory alternatives to protect consumer data.