House Republicans Jim Jordan (R-OH), James Comer (R-KY), Patrick McHenry (R-NC) and Tom Emmer (R-MN) criticized the SEC for "aggressively" enforcing recordkeeping laws on private businesses. The representatives found such enforcement "curious" given the agency's own failures to comply with federal transparency and recordkeeping laws.

A broker-dealer settled FINRA charges for failing to properly test the firm's AML compliance program.

The SEC proposed amendments to impose additional liquidity requirements on mutual funds and other SEC-registered open-end funds.

The SEC adopted a final rule amending the reporting requirements for (i) management investment companies as to their reporting of proxy votes and (ii) "institutional investment managers" as to proxy voting relating to executive compensation.

Senator Pat J. Toomey (R-PA) criticized six of the 12 ESG ratings firms from which he had requested information; hes said the firms either ignored his request or provided incomplete answers.