The SEC adopted rule amendments that impose additional conditions on the ability of a broker-dealer to publish a quotation for securities that are not listed on a national securities exchange.

An SEC-proposed amendment to the rules on electronic submissions of the Electronic Data Gathering, Analysis, and Retrieval System was published in the Federal Register.

The Office of Compliance Inspections and Examinations alerted firms to the increased prevalence of "credential stuffing," a cyberattack method that involves the use of automated scripts to attempt to log into customer accounts using stolen personal information.

The SEC reported on the capital-raising framework recommendations made by participants of the 39th Annual Small Business Forum and the SEC's response to them.

An SEC final rule amending the application process for funds seeking exemptive relief under the Investment Company Act of 1940 was published in the Federal Register.

The SEC charged five individuals, including movie producer Ryan Felton and rapper Clifford Harris Jr., for their involvement in two of Mr. Felton's unregistered initial coin offerings.

In a study funded by FINRA's Investor Education Foundation, researchers found that financial overconfidence (i.e., high confidence in an individual's financial knowledge relative to their actual financial literacy) may result in excessive financial risk-taking.

The SEC adopted a final rule that will rescind Industry Guide 3 concerning the statistical disclosures that banking entities and bank holding companies provide in their registration statements. The new rule replaces Guide 3 with a new Subpart 1400 to Regulation S-K, the SEC's general regulation governing disclosure.

The SEC amended corporate finance disclosure guidance for companies with confidential treatment orders that are approaching expiration.

A group of investor rights organizations urged the SEC to reopen the comment period for proposed amendments to SEC rules on shareholder proposals, in light of recently submitted data from the SEC Division of Economic and Risk Analysis.

A broker-dealer settled FINRA charges for failing to disclose material aspects of payment for order flow arrangements.

The DOJ and the SEC charged the manager of a hedge fund with securities fraud, wire fraud, extortion and obstruction of justice related to his "conduct in the offer of certain shares being disposed of as part of the Neiman Marcus Group Ltd. bankruptcy proceedings."

An SEC final rule designed to improve the accuracy and transparency of information provided by proxy advisory firms was published in the Federal Register.

The SEC awarded $2.5 million to two whistleblowers for providing information that led to several successful enforcement actions.

FINRA proposed temporary rule amendments to give the Office of Hearing Officers and National Adjudicatory Council the authority to conduct certain hearings by video conference.

FINRA reminded member firms of their supervisory responsibilities for Consolidated Audit Trail compliance.

An SEC and FDIC final rule governing the orderly liquidation of "covered broker-dealers" was published in the Federal Register.

FINRA provided an extension for the completion of qualifying examinations and firm certifications.

In a speech on governance, SEC Commissioner Hester M. Peirce highlighted the need to refocus corporate priorities on shareholders rather than stakeholders, and the danger that the continuing shift in such focus reduces management accountability.

A Michigan-based manufacturer settled SEC charges for material misstatements in financial reports caused by a failure to estimate "incurred but not reported" liability for future asbestos claims.

The SEC adopted amendments to the definitions of "accredited investor" and "qualified institutional buyer" under regulations on private placement exemptions and private resales of securities to institutions. The amendments are intended to increase accessibility to private capital markets.

The SEC adopted amendments to revise the description of business, legal proceedings and risk factor disclosures that registrants are required to make under the Securities Act.

The SEC provided certain limited exemptive relief from the “locate” and "close-out" requirements under its short sale regulations. The relief was provided because of COVID-19 related intermittent suspension of physical securities processing by the Depository Trust Company .

The SEC approved the registration statement of INX Solutions Limited, a Gibraltar company that intends to go into the business of providing markets for the trading of digital assets.

A global IT company and its former chief financial officer settled SEC charges for improper accounting methods, filing "materially misstated financial statements" and failing to maintain sufficient internal accounting controls.