The SEC re-proposed amendments that would narrow the scope of an exemption from FINRA membership currently relied upon by broker-dealers that trade only on exchanges.

A broker-dealer settled SEC charges related to unsuitable recommendations, material misstatements, and misrepresentations to retail customers involving highly complex variable interest rate structured products.

Senate Banking Committee Chair Sherrod Brown (D-OH) requested information from Apple Inc. and Alphabet Inc. on each company's safeguards in making available mobile apps that allow customers to trade digital assets.

SEC Director of Investment Management William Birdthistle cautioned broker-dealers that receive cash payments for research from European asset managers that they may be required to register as investment advisers when the SEC's MiFID II no-action letter expires in July 2023.

The Financial Stability Oversight Council issued a statement highlighting progress made on climate regulation since the issuance of its October 2021 "Report on Climate-Related Financial Risk."