The SEC proposed amendments that would require covered clearing agencies that provide central counterparty services for Treasury securities to require its members to centrally clear a significant number of their repo transactions in Treasury securities.

A broker-dealer settled FINRA charges for failing to report OTC options positions to the Large Options Position Reporting system.

A tech company settled SEC charges for misleading investors about its order backlog management practices and slowing performance relative to its projections.

A venture capital investment adviser settled SEC charges for making unauthorized loans from funds it managed and for failing to disclose such loans to investors.

Two affiliated investment advisers settled SEC charges for failing to fully disclose their fee calculation practices, resulting in millions of dollars in excess fees charged to private equity funds they advised.