The SEC finalized amendments designed to improve the accuracy and transparency of information provided by proxy advisory firms.

At a meeting of the CFTC Market Risk Advisory Committee, subcommittees and industry representatives provided updates on the transition to the Secured Overnight Financing Rate and the impact of the pandemic on market infrastructure and trade volumes.

The North American Securities Administrators Association examined issues of diminished capacity and cognitive impairment that impact financial professionals.

The CFTC voted to approve the adoption of a final rule establishing capital requirements for swap dealers and major swap participants.

A broker-dealer settled FINRA charges for failing to accurately calculate its net long position, leading to an over-tender of shares in excess of its net long position in a partial tender offer.