The FINRA Investor Education Foundation found persistent disparities in taxable investment account ownership among various racial and ethnic groups.

The SEC extended the time to consider a proposed amendment to the Consolidated Audit Trail National Market System Plan. The amendment would implement a revised funding model for the Consolidated Audit Trail and impose a related fee schedule.

The Alternative Reference Rates Committee summarized its recommendations to date for spread-adjusted fallbacks for contracts that reference U.S. dollar LIBOR.

A broker-dealer settled FINRA charges for misapplying the Multi-Day Approach in calculations of the pre-fail credits and close-out obligations of five affiliated foreign broker-dealers.