FINRA proposed amendments to Consolidated Audit Trail NMS plan rules to add consistency for certain NMS Plan exemptions and "to facilitate the retirement of certain existing regulatory systems."

A broker-dealer agreed to pay $250,000 to settle various FINRA reporting violations, including failing to disclose its sales compensations on preferred securities transactions to customers.

The Federal Reserve Board found the 2020 Dodd-Frank stress test results demonstrate that, despite suffering substantial losses under a "severely adverse" scenario, large banks "could continue lending to businesses and households."

SEC Chair Jay Clayton, Division of Corporation Finance Director William Hinman, Division of Investment Management Director Dalia Blass and Division of Trading and Markets Director Brett Redfearn provided updates on the SEC's various pandemic relief measures.

The MSRB updated its FAQs for regulated entities concerning COVID-19-related regulatory relief.