The Depository Trust Company filed with the SEC a proposed rule change to amend its recovery and wind-down plan.

FINRA proposed extending relief on fulfilling the qualification examination requirements for operations professionals and supervisory principals.

The SEC published in the Federal Register an interim final rule amending Forms 20-F, 40-F, 10-K and N-CSR for registrants required to comply with disclosure and submission requirements under the Holding Foreign Companies Accountable Act.

FinCEN Director Kenneth A. Blanco will step down on April 9, 2021. Effective April 11, 2021, Michael Mosier will serve as Acting Director; AnnaLou Tirol was appointed to serve as Deputy Director.

FinCEN issued an advance notice of proposed rulemaking seeking public comment on the development of a beneficial ownership registry under the Corporate Transparency Act.