The SEC adjusted the securities registration fee rate for public companies and other issuers.
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CFTC Commissioner Stump outlined the agency's regulatory and enforcement authority with respect to digital assets. Commissioner Stump noted the proliferation of digital assets has resulted in the "grossly inaccurate oversimplification" that such assets are either SEC-regulated securities or CFTC-regulated commodities.
A broker-dealer settled FINRA, NYSE and NYSE American charges for violations of short sale close out and "penalty box" provisions, which prohibit the short sale of securities when Reg. SHO's close out requirement is unsatisfied and the broker-dealer has not borrowed or arranged to borrow the securities.
FINRA proposed delaying the expiry date of Rule 0180 on the application of FINRA rules to security-based swaps, and extending the implementation date of Rule 4240 on margin requirements for credit default swaps.
FINRA filed for immediate effectiveness proposed amendments that would update its Continuing Membership Application Form to conform to Membership Application Program amendments going into effect on September 1, 2021.