In a recent public appearance, the SEC chair addressed so-called 'regulation by enforcement' without mentioning it by name.
A pending proposal would be designed to enhance cybersecurity preparedness and incident reporting.
Legislation would establish a program that provides $10 million annually to states to investigate, prosecute abuse.
The broker-dealer self-regulator also punished the firm for inaccurate and omitted conflict disclosures in research reports.
The theme of the broker-dealer self-regulator's agenda this year is protecting the retail investors who have surged into the financial markets, Finra CEO Robert Cook said during a webinar.
'It’s really important to get the public feedback, but it’s also really important to move on,' the agency's chairman told a group of financial industry representatives.
The firm's purchase of Reilly Financial Advisors is another in a string of recent deals.
It's unclear how political battles on other issues will affect the timeline for votes on administration nominees.
The victorious lawyer focused on alleged missteps related to liquidity and risk management, rather than conspiracy theory.
Finra says member firms are experiencing 'operational challenges' due to the pandemic that make in-person examinations difficult.
