The SEC appointed Monique C. Winkler as Regional Director of the San Francisco Regional Office and Nicholas P. Grippo as Regional Director of the Philadelphia Regional Office.

FINRA proposed a voluntary three-year pilot program to allow broker-dealers to conduct annual office inspections remotely.

Comments on a FINRA proposal to amend the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes are due by September 6, 2022.

Comments on a FINRA proposal to further delay the implementation of margin requirements for Covered Agency Transactions are due by September 6, 2022.

A broker-dealer settled SEC charges for violating Regulation SHO by executing short sale trades through its single-dealer platform without doing proper locates.