The SEC Division of Trading and Markets provided instructions to security-based swap entities on documentation submissions under (i) SEC capital margin and segregation rules and (ii) SBS valuation dispute notices related to portfolio reconciliation.

The SEC Division of Corporation Finance granted conditional no-action relief to an exchange-traded fund from requirements "prohibiting purchases outside of a tender offer."

The MSRB requested comment on draft compliance resources to assist regulated entities in their supervision over new issue pricing of municipal securities.

A FINRA proposal to harmonize a FINRA rule on customer account statements with a Temporary Dual FINRA-NYSE rule and interpretation concerning customer account statements was published in the Federal Register.

FINRA proposed extending a pilot program that governs the review of "clearly erroneous transactions" in exchange-listed securities. The extension would move the expiration date from October 20, 2021, to April 20, 2022.