A broker-dealer settled charges with the SEC for failing to ensure that the firm's representatives were providing suitable recommendations.

The SEC updated its Proxy Rules and Schedule 14A Manual of Publicly Available Telephone Interpretations and the 1999 Supplement. The SEC said that it is continuing a process of updating broader "Compliance and Disclosure Interpretations" relating to the proxy rules.

SEC Commissioner Mark T. Uyeda argued that companies must act to maximize shareholder value and not place the interests of investors subservient to private ESG interests.

FINRA recommended that firms consider promoting end-user awareness in response to recent cyber incidents attributed to specific threat actors.

The Managed Funds Assets recommended that regulators obtain more data before imposing clearing regulations on the Treasury market.