The SEC named LizAnn Eisen as the Deputy Director of the Disclosure Program in the Division of Corporation Finance.

SEC Deputy Director of the Division of Examinations Kristin Snyder will leave the agency at the end of January.

The America COMPETES Act of 2022 was introduced in the U.S. House of Representatives. The bill would, among other things, modernize FinCEN's special-measures authority to "empower FinCEN to adapt its existing tools, monitor and obstruct global financial threats, and meet the challenges of combating 21st century crime."

A firm specializing in execution services for institutional and broker-dealer clients settled FINRA charges for short sales and FINRA trade reporting rule violations.

In a risk alert for private fund advisers, the SEC Division of Examinations highlighted compliance issues found during the 2020 exam period.