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The SEC set the fee that public companies and other issuers must pay to register their securities with the agency for FY 2019 at $121.20 per million dollars.

The SEC adjusted the securities registration fee rate for public companies and other issuers. The FY 2020 rate was set at $129.80 per million.

The SEC Division of Trading and Markets staff stated that as of September 28, 2021, "broker-dealers will no longer be able to publish proprietary quotations for the securities of any issuer for which there is no current and publicly available information."

The SEC plans to approve Precidian Investments' non-transparent exchange-traded fund ("ETF") application.

The SEC noted that further information on the forum agenda and participants will be published in the coming weeks.

According to a Wall Street Journal report, the SEC may reevaluate a decision by the Division of Markets and Trading to approve a proposed rule change that permits the listing and trading of...

Desarrolladora Homex S.A.B. de C.V. settled SEC charges that the Mexico-based homebuilding company defrauded investors by falsely inflating the number of homes sold and overstating revenue...

The Chief Executive Officer also agreed to a temporary suspension.

The SEC Division of Corporation Finance granted relief to Citigroup Global Markets Inc. ("CGMI") from any disqualification under Rule 506 of Regulation D regarding a January 26, 2017 Order that found CGMI to have overbilled clients.

The Senate confirmed President Trump's nomination of Walter J. "Jay" Clayton III as Chair of the SEC.

SIFMA called for the creation of a uniform set of rules governing the strike prices of options listed on national securities exchanges.

SIFMA requested comments on draft municipal security issue price model documents in order to "aid industry market participants in compliance with the new Treasury Department issue price rules for municipal securities."

In a comment letter, SIFMA called on the SEC to suspend a MIAX Emerald, LLC proposal to establish an Options Regulatory Fee.

The U.S. House of Representatives passed a bill requiring certain disclosure testing under the SEC's proposed Regulation Best Interest ("Reg BI").

The U.S. Senate confirmed Isabel Guzman as Administrator of the Small Business Administration ("SBA") by a bipartisan vote of 81-17.

The DOJ filed charges against the owner of two companies in Florida for submitting false and fraudulent claims in order to receive (i) reimbursement from Medicare and (ii) loans from the Paycheck Protection Program.

Several law enforcement agencies established a joint task force to investigate and prosecute foreign-based fraudsters who target seniors.