A new FINRA rule which imposes additional requirements on broker-dealers deemed to pose a significant risk to investors will go into effect on January 1, 2022.

A broker-dealer settled SEC charges for short sale violations related to the firm's merger arbitrage trading. The SEC determined that the firm mismarked short sales as long sales, and failed to obtain and document a locate prior to effecting short sales.

In response to a surge in merger filings, the FTC introduced changes to its mergers and acquisitions investigations, and assessments of second requests and second request negotiations.

A swap dealer settled CFTC charges relating to compliance with CFTC requirements on portfolio reconciliation, mid-market marks and trade reporting.

The SEC instituted proceedings regarding a FINRA-proposed amendment to Rule 2165 ("Financial Exploitation of Specified Adults") to further consider issues raised by commenters and determine whether to approve or disapprove the amendment. The SEC noted that instituting proceedings should not be viewed as an indication of any SEC conclusion with respect to the proposed rule change.