At an Asset Management Advisory Committee meeting, SEC officials considered a subcommittee's proposed recommendations on environmental, social, and governance disclosure.

The New York State Investor Protection Bureau finalized two rules that will modernize registration and filing requirements by transitioning filings and payments to standardized national systems.

FINRA proposed a rule change that would extend the expiration date for temporary amendments that (i) allow virtual hearings and (ii) provide relief to FINRA staff from certain enforcement and procedural requirements.

A broker-dealer settled FINRA charges of systemic Trade Reporting and Compliance Engine violations.

The North American Securities Administrators Association adopted a model rule for implementing a continuing education program for investment adviser representatives.

The SEC proposed a rule that would allow internet platform companies to partly compensate gig workers with equity.

The SEC proposed amendments that would expand exemptions from registration related to securities issued by non-reporting companies for certain compensation plans.

SEC and Public Company Accounting Oversight Board officials decried the continuing limitations on the PCAOB's ability to inspect the audit work and practices of PCAOB-registered audit firms in China.

A firm settled FINRA charges for failing to journal approximately 6 million emails on its correspondence review platform.

A firm settled FINRA charges for Order Audit Trail System reporting violations and written supervisory procedure failings.

The SEC issued a policy statement on EMIR-authorized CCPs seeking to register as, or be exempt from certain requirements applicable to, clearing agencies under SEC requirements.

The SEC Division of Corporation Finance identified risks associated with China-based issuers and highlighted related disclosure considerations.

An SEC and CFTC joint final rule reducing the margin requirements for security futures was published in the Federal Register.

SIFMA identified the key regulatory challenges to "operationalizing" distributed ledger technology into ordinary securities transactions.

The SEC adopted rule amendments designed to "modernize, simplify, and enhance" certain public company financial disclosure requirements.

A broker-dealer and its former Chief Compliance Officer settled FINRA charges for failing to reasonably establish and maintain an AML program designed to achieve compliance with the Bank Secrecy Act.

The Office of Compliance Inspections and Examinations identified compliance issues for investment advisers in connection with the Compliance Rule.

The Investment Adviser Association and National Regulatory Services reported on the state of the SEC-registered investment advisers profession "based on data from before the coronavirus (COVID-19)."

A broker-dealer settled FINRA charges for failing to accurately report trades to the MSRB.

SEC Division of Corporation Finance William Hinman emphasized the merits of a principles-based approach to disclosure.

The SEC approved a FINRA temporary rule amendment that allows member firms to complete their inspection obligations remotely through calendar year 2021.

A broker-dealer settled NYSE Arca, Inc. charges for executing options orders that contained inaccurate origin codes.

An SEC final rulemaking intended to simplify and update the regulatory framework for "fund of funds" arrangements was published in the Federal Register.

The SEC named Marie-Louise Huth as the Office of the General Counsel's Associate General Counsel for Legal Policy.

In remarks at the XBRL US Investor Forum 2020, SEC Commissioner Allison Herren Lee expressed support for expanding the use of "structured data into the disclosure process."