House Financial Services Subcommittee Chair Bill Huizenga (R-MI) and House Appropriations Subcommittee Chair Steve Womack (R-AR) requested a briefing from the SEC as to whether it has conducted a "sufficient" economic analysis of proposed regulations on the private fund market.

IOSCO said that two "credit sensitive" alternatives to USD LIBOR should not be represented as being "IOSCO-compliant."

The House Judiciary Committee ​​​​​​​requested information from three of the largest asset managers in finance pursuant to a Committee inquiry into "the sufficiency of existing antitrust laws to address collusive agreements to promote and adopt progressive environmental, social, and governance (ESG) goals."

A broker-dealer settled charges with FINRA for excessive trading in accounts and incurring "substantial losses" for customers.

FINRA proposed rule amendments to provide margin relief for specified index option transactions and warrant positions.