The New York State Office of the Attorney General issued guidance on state registration and filing requirements for brokers, dealers and investment advisers. The new guidance "elaborates" on 2020 rule changes that transitioned filings and payments to standardized national systems.

A firm settled FINRA charges for failing to timely report, and for over-reporting, non-tape reports with a special .RX trade report modifier.

FINRA proposed amendments to filing requirements for quotations of non-exchange-listed securities. The proposed amendments conform the requirements to recent SEC rule changes on the initiation or resumption of quotations without specific information.

The SEC charged five individuals for promoting a global unregistered digital asset securities offering, which raised over $2 billion in retail investments.

The Cabinet Regulatory Tracker is a list of effective dates and comment deadlines.