The SEC approved a NYSE rule change to provide alternative means - a primary direct listing - for exchange-listed companies to raise equity.

The SEC Office of Compliance Inspections and Examinations identified potential compliance issues for broker-dealers and investment advisers under the "Large Trader" reporting rule.

SEC Director of the Division of Investment Management Dalia Blass will depart the SEC in January 2021. Under her leadership, the Division finalized over 70 regulatory initiatives impacting investment companies and investment advisers.

The SEC requested comment on allowing limited purpose broker-dealers to custody "digital asset securities."

The SEC named Charles Koretke to serve as Managing Executive of the Division of Examinations to manage and lead the Division's business operations. Mr. Koretke has been serving as Acting Managing Executive since October 2019.