FINRA proposed amending its rules on underwriting compensation valuations and expanding private placement exemptions from filing requirements.

The SEC alleged that executives at a global data intelligence company, abetted by the company's largest customer, engaged in a scheme designed to make the company appear more attractive as a candidate for a merger with a special purpose acquisition company.

An agricultural company settled SEC charges for misleading investors by materially inflating the financial performance of its "Nutrition" business segment, which the company had promoted to investors as a critical driver of future growth.

The Fixed Income Clearing Corporation proposed to modify the schedule of timeframes for its newly established Agent Clearing Service Triparty Service. The amendment would extend key operational deadlines to better align with broader market infrastructure.

ISDA CEO Scott O'Malia urged regulators to extend cross-margining benefits to clients before the date the clearing mandate for government securities becomes effective. He also emphasized the necessity of updating capital rules to ensure a cost-effective transition to the clearing mandate.