A global securities pricing service settled SEC charges for compliance failures related to delivering quotes to clients received from a single market participant.

SEC General Counsel Robert B. Stebbins will step down from his position in early January. Michael Conley, currently the SEC Solicitor, will serve as Acting General Counsel.

The SEC awarded a total of $3 million to five whistleblowers for providing original information that led to three successful enforcement actions.

In a public statement, SEC Chief Accountant Sagar Teotia emphasized the importance of high-quality financial reporting during the COVID-19 pandemic, stating that the Office of the Chief Accountant "stands ready" to provide assistance.

The CFTC approved a final rule updating the swap execution facility regulatory regime, approved new exemptions from the trade execution requirement, and withdrew an unadopted proposal due to marketplace objection.