SEC adopts resource extraction disclosure rule. SEC adopts rule to exempt certain SBSEFs and SBSDs from registering as clearing agencies. Market participants join ARRC in urging New York to adopt LIBOR-related legislation. SEC alerts investors to rising number of investment scams. SEC Chair highlights successful implementation of CAT. Broker-dealer settles SEC charges for disclosure failures. China-based coffee company settles SEC charges of accounting fraud.

FDIC approves rule to codify policies for parent companies of industrial banks. FDIC adopts revisions to brokered deposit regime. FINRA seeks comment on impact of Covid-19 to member business operations. Trading firm settles NYSE Arca charges for deficient controls. Clearing firm settles NYSE American charges for options reporting failures. SEC Division of Trading and Markets Director to step down. Effective date set for DOL rule clarifying plan fiduciaries' proxy voting obligations.

FDIC approves rule to codify policies for parent companies of industrial banks. FDIC adopts revisions to brokered deposit regime. FINRA seeks comment on impact of Covid-19 to member business operations. Trading firm settles NYSE Arca charges for deficient controls. Clearing firm settles NYSE American charges for options reporting failures. SEC Division of Trading and Markets Director to step down. Effective date set for DOL rule clarifying plan fiduciaries' proxy voting obligations.

Interdealer brokers settle CFTC charges for "flying" prices and "printing" trades. SEC approves FINRA's proposed restrictions on firms with history of misconduct. FRB joins network of central banks and supervisors concerned with climate risk management. FINRA names new head of market regulation and transparency services.

DOL adopts rule clarifying plan fiduciaries' proxy voting obligations. FDIC Chair McWilliams advocates for technological advancements in bank supervision. FRB and OCC provide Brexit-related relief for legacy swaps. Firm settles FINRA charges for failure to keep accurate order records. FRB Vice Chair recommends reform of banking supervisory rating system. Treasury reports on foreign financial institution violations of Hong Kong Autonomy Act.

CFPB adopts rules expanding scope of the "Qualified Mortgage" definition. SEC charges brand management company with failure to timely impair goodwill. SEC Enforcement Director Stephanie Avakian to conclude tenure. Effective date for SEC amendments to "Auditor Independence" framework set for June 9. Comment deadline set for temporary SEC rule change to compensate certain gig workers with equity. Comment deadline set for SEC proposal to amend registration exemptions for "platform workers."

SEC introduces competition into NMS data collection, consolidation and delivery. FDIC and FRB update resolution plan submission guidance for certain foreign banks. Publicly traded company settles SEC charges for disclosure failures regarding reported profit growth. Broker-dealer settles FINRA charges for violations relating to employee hiring. Broker-dealer settles NYSE charges for trading violations. Broker-dealer settles NYSE charges for failing to route customer orders.

CFTC adopts electronic trading principles. CFTC revises SEF regulatory framework. CFTC adopts "comprehensive update" to bankruptcy regulations. SEC awards $3 million to five whistleblowers. Pricing service settles sec charges related to single broker quotes. CFTC staff provides trade execution relief for LCH on default management transactions. SEC Chief Accountant highlights OCA priorities during the pandemic.

CFTC amends uncleared swap margin rules. CFTC staff clarifies applicability of clearing requirements on default management transactions. OFAC clarifies scope of Iranian sanctions. Adviser settles SEC charges for disclosure failures that harmed investors. Mortgage servicer settles CFPB and state charges for unlawful practices. Firm settles FINRA charges for supervisory failures over executive communications.

CFTC issues relief for Brexit-related transfer of legacy swaps. CFPB sues online lender for alleged Military Lending Act violations. Firm settles FINRA charges for AML and due diligence violations. FINRA extends window for completing qualification examinations. NFA updates CPO quarterly reporting form.