A broker-dealer settled FINRA charges for failing to comply with Large Option Positions Reporting system requirements.

SEC Investor Advocate Rick A. Fleming urged NASDAQ and the NYSE to revise their listing standards so that business combinations could only be consummated for SPACs when 50 percent or more of public shares are invested in the SPAC post-combination.

SIFMA and SIFMA Asset Management Group raised objections to the SEC proposal to reinterpret the term "exchange" as used in the Securities Exchange Act.

In a testimony before the House Financial Services Committee, CFPB Director Rohit Chopra reviewed progress to date on the agency's consumer protection agenda.

The SEC, the CFTC and the DOJ filed actions against a New York-based family office and certain of its principals for an alleged market manipulation scheme that resulted in billions of dollars in losses.