FINRA proposed to delay, from March 25, 2021 to October 26, 2021, the implementation date of amendments to FINRA margin requirements on "To Be Announced" and other "Covered Agency Transactions."

The SEC approved a NYSE rule change to provide alternative means - a primary direct listing - for exchange-listed companies to raise equity.

The SEC Office of Compliance Inspections and Examinations identified potential compliance issues for broker-dealers and investment advisers under the "Large Trader" reporting rule.

SEC Director of the Division of Investment Management Dalia Blass will depart the SEC in January 2021. Under her leadership, the Division finalized over 70 regulatory initiatives impacting investment companies and investment advisers.

The SEC requested comment on allowing limited purpose broker-dealers to custody "digital asset securities."