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

Comments on an SEC re-proposal to narrow the scope of a broker-dealer exemption from FINRA membership are due by September 27,2022.

The SEC proposed a new rule that would establish new governance requirements for clearing agencies.

In his Spring 2022 Regulatory Flexibility Agenda, SEC Chair Gensler listed proposed rules the agency will consider in the next 12 months that are likely to have a significant economic impact on a substantial number of registered entities.

SEC staff reminded broker-dealers and investment advisers of the obligation under Regulation Best Interest and the IAA fiduciary standard to act in a retail investor's best interest and disclose conflicts of interest.