A brokerage firm settled NYSE Arca, Inc. charges for failing to report OTC options positions to the Large Options Position Reporting system.

A broker-dealer settled FINRA charges for failing to adequately monitor and supervise an employees' outside brokerage accounts.

A chemical manufacturer settled SEC charges for making materially misleading statements to investors and the public regarding the company's debt reduction efforts.

SEC Commissioner Caroline A. Crenshaw defended the SEC's ESG disclosure proposal, calling it consistent with other disclosure requirements proposed by the SEC and responsive to the evolving demands of investors.

The DOJ obtained a permanent injunction suspending the proposed acquisition of Simon and Schuster by Penguin Random House.