The SEC published in the Federal Register a proposal that would (i) amend existing rules to change the filing of various applications, confidential treatment requests and forms from paper to electronic, and (ii) require structured data reporting from regulated entities.

In its Annual Report to Congress, the SEC Office of the Whistleblower reported that it had another recording-breaking year for both the number of tips received and whistleblower awards paid.

The SEC proposed amendments to its broker-dealer and security-based swap dealer electronic recordkeeping requirements.

SIFMA conducted an industry-wide cybersecurity exercise in which participants responded to and recovered from simulated ransomware attacks targeting the financial sector.