In an address to the Financial Stability Oversight Council, SEC Chair Jay Clayton provided an overview of the operations of securities markets since the start of the pandemic.

A broker-dealer settled Nasdaq Stock Market LLC charges for failure to maintain "a continuous two-sided trading interest during regular market hours at prices within certain percentages away from the National Best Bid or Offer."

The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, effective dates, reporting deadlines, expiration dates and delayed actions.

A CFTC proposal to amend Part 38 of the CFTC Rules to include electronic trading "Risk Principles" was published in the Federal Register.

A FINRA rule to temporarily extend the deadline for firms to complete annual office inspections was published in the Federal Register.