The SEC Division of Trading and Markets warned broker-dealers to stay "vigilant to market and counterparty risks" during times of increased global unrest.
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SEC Commissioner Allison Herren Lee notified President Joseph R. Biden that she will not seek a second term as Commissioner.
SEC staff issued several letters in response to a number of company requests to exclude social policy proposals in company proxy materials.
President Joseph R. Biden signed an Executive Order prohibiting certain imports, exports and new investments between Russia and the United States.
A firm settled FINRA charges for violating FINRA rules on payments to unregistered persons. The firm paid commissions to outside organizations established by its representatives, rather than paying the compensation directly to the representatives.