The SEC proposed amendments designed to tailor mutual fund and exchange-traded fund disclosures to the needs of retail investors.

Two affiliated registered SEC firms, one of which was an adviser and the other, a dually registered adviser and introducing broker, settled SEC charges for making material misrepresentations to the advisers' clients.

A FINRA rule proposal to provide the self-regulatory agency with temporary relief from certain enforcement and other procedural requirements was published in the Federal Register

The New York Mercantile Exchange, a subsidiary of CME, settled CFTC charges for improper disclosures of customers' trading activity by two former NYMEX employees.

In a "Midyear 2020 Advocacy Report," FIA highlighted efforts to address the COVID-19 related economic and operational issues.