An investment adviser settled SEC charges for failing to file a Form 13-F, which requires quarterly public disclosure of the equity portfolios of an entity holding at least $100 million in securities assets.
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In a new report, the SEC reviewed regulatory issues involving GameStop trading in January 2021.
The U.S. House Financial Services Committee considered proposed legislation in response to the GameStop and Archegos trading events.
In a second hearing on the subject, the U.S. House Financial Services Committee considered reform recommendations from capital market experts on regulatory questions arising from the GameStop trading event.
The U.S. Senate Banking, Housing and Urban Development Committee considered testimony on the recent "tech-induced" stock market volatility involving GameStop.