The SEC proposed amendments to impose additional liquidity requirements on mutual funds and other SEC-registered open-end funds.

The SEC adopted a final rule amending the reporting requirements for (i) management investment companies as to their reporting of proxy votes and (ii) "institutional investment managers" as to proxy voting relating to executive compensation.

Senator Pat J. Toomey (R-PA) criticized six of the 12 ESG ratings firms from which he had requested information; hes said the firms either ignored his request or provided incomplete answers.

The effective date for amendments to the SEC broker-dealer and security-based swap dealer electronic recordkeeping requirements will be January 3, 2023.

A broker-dealer settled FINRA charges for failing to review the suitability of investment recommendations in non-traded Real Estate Investment Trusts and for failing to timely respond to relevant customer complaints.