A broker-dealer settled FINRA charges for (i) accepting short sale orders without first fulfilling the locate requirement, (ii) reporting trades with an inaccurate capacity symbol and (iii) related supervisory failures.

SIFMA and SIFMA Asset Management Group criticized the SEC's proposed rule amendments that would require certain investment advisers to include ESG-related disclosures.

SIFMA urged the New York State Department of Financial Services to consider changes to its "prescriptive" pre-proposal to impose new cybersecurity requirements on financial services companies.

A bank settled parallel SEC and Federal Reserve Board charges for (i) extending lines of credit to affiliates of the bank's CEO without the majority approval of its board, (ii) failing to disclose related party loans in annual reports and proxy statements, and (iii) issuing materially misleading statements.

A broker-dealer settled FINRA charges for failing to report the short sale indicator for transactions in NMS and OTC equity securities.