The Securities and Exchange Commission agreed to modify final judgments against investment firms that were part of a 2003 and 2004 Global Research Analyst Settlement regarding potential conflicts of interest between equity research analysts and investment banking personnel.

FINRA amended its transaction reporting requirements to permit firms acting as both broker-dealers and investment advisers to report allocations to managed accounts using a simplified, aggregated method.

A broker-dealer settled FINRA charges for failing to maintain required minimum net capital levels and failing to maintain accurate books and records.

Researchers from the Office of Financial Research analyzed the latest data on the U.S. repurchase agreement market and found that total daily exposures were significantly larger than previously estimated.

In separate remarks before the SEC Investor Advisory Committee, SEC Chair Paul Atkins and Commissioners Hester Peirce and Caroline Crenshaw offered divergent views on the future of corporate governance, shareholder engagement, and the regulatory approach to artificial intelligence.