SEC Corporation Finance Division Director Jim Moloney hlghlighted two pending SEC proposals that would (i) give smaller public companies access to shelf registration and (ii) raise the public-float threshold that triggers the most demanding disclosure obligations.

Former CFTC Chair Gary Gensler urged a federal appeals court to reject the argument that Dodd-Frank made the CFTC a national sports-betting regulator and preempted state gaming laws, contending that sports bets are not swaps.

FINRA suspended a former broker for charging personal meals and car rides to her firm credit card and submitting them as business expenses.

SIFMA urged FinCEN and OFAC to clarify and narrow their proposed AML and sanctions rules for "permitted payment stablecoin issuers."

In a Risk Alert, the SEC Division of Examinations highlighted investment adviser obligations to disclose "economic conflicts of interest."