At a hearing before the U.S. Senate Committee on Banking, Housing, and Urban Affairs, Treasury Secretary Janet L. Yellen and Federal Reserve Board Chair Jerome H. Powell touted the federal government's financial response to the pandemic and urged Congress to raise the debt limit.

FINRA, the North American Securities Administrators Association and the SEC Office of Investor Education and Advocacy urged investors doing business with a financial firm to name one or more trusted contacts.

In a Complaint filed in the U.S. District Court for the District of New Jersey, the SEC alleged that two individuals placed orders on opposite sides of the market for the same put options using two accounts with two broker-dealers.

At a meeting of the SEC Asset Management Advisory Committee, SEC officials challenged members to consider how advances in financial technologies impact investors and the advice they receive.