In remarks at the "Going Public in the 2020s" Conference, SEC Commissioner Mark T. Uyeda decried the decline in the number of companies going public and made several recommendations for reversing the trend, particularly for smaller companies, which he said would benefit Main Street investors.
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In a position paper, SIFMA and the accounting firm Ernst and Young assessed the current state of corporate action announcement and dissemination policies in the United States and called for more industry standardization.
An investment adviser settled SEC charges for conflicts of interest, material misstatements and omissions, supervision violations and reporting violations related to the adviser's activities with special purpose acquisition companies.
The MSRB added a calendar on municipal bond issuance to the Electronic Municipal Market Access website.
The MSRB issued a Request for Information on environmental, social and governance practices in the municipal securities market.