The SEC approved amendments to (i) provide a one-time exemption for municipal advisors who allowed their qualification to lapse and (ii) require municipal advisors to keep books and records regarding the exemption.

Twenty-six trade associations banded together to urge the SEC not to adopt a proposed amendment to the "custody rule" because it would make "fundamental changes" to an already "well-established and demonstrably effective custody framework without a clear policy rationale."

The SEC charged an alternative investment platform for misleading investors by failing to disclose "critical information" in an asset-backed securities offering.

Before the United States District Court for the Southern District of New York, the SEC charged a broker-dealer for failing to protect its customers' trading information.

An entertainment company settled charges with the SEC for offering and selling non-fungible tokens without registering with the SEC.