The SEC named Lindsay McCord as the new Division of Corporation Finance Chief Accountant.

A FINRA rule proposal to amend the requirements for Firm Designated IDs under Consolidated Audit Trail compliance rules was published in the Federal Register.

SEC Enforcement Co-Director Steven Peikin will leave the SEC on August 14, 2020.

The SEC proposed amendments designed to tailor mutual fund and exchange-traded fund disclosures to the needs of retail investors.

Two affiliated registered SEC firms, one of which was an adviser and the other, a dually registered adviser and introducing broker, settled SEC charges for making material misrepresentations to the advisers' clients.