Sia Partners, a global management consultancy, conducted an independent study identifying key market concerns over an SEC proposal that would require U.S. Treasury security transactions and repos to be centrally cleared.

The SEC proposed rule amendments that "modernize" filing procedures through the use of electronic filings. The amendments impact numerous rules and forms.

SEC Commissioner Caroline A. Crenshaw responded to reports that retail investors may be unable to exercise put options purchased on Silicon Valley Bank and Signature Bank stock.

A broker-dealer settled FINRA charges for mismarking principal short sell orders and failing to locate shares available for borrowing in connection with riskless principal transactions.

A broker-dealer settled FINRA charges for failing to register third-party workers.