FINRA proposes longer hold periods to combat suspected financial exploitation of seniors. SEC staff reports on the safety of the clearing agencies. CFTC amends CPO reporting requirements. NFA amends code of arbitration and member arbitration rules. NFA reminds registrants of expiration of relief from fingerprinting requirements. SEC charges cybersecurity entrepreneur for fraudulently touting ICOs. CFTC enforcement director moves on.

SEC reports on U.S. credit market performance in light of Covid-19 pandemic. MSRB proposes updates to by-laws to reflect recent action on board governance. NYDFS Superintendent highlights efforts on climate change.

DOJ completes review of ISDA IBOR fallbacks. CFTC Commissioner offers recommendations to address climate-related financial risk. House Financial Services Committee Chair urges SEC to rescind proposed reporting amendments. FRB proposes amendments to capital planning requirements. ISDA considers further alignment between derivatives and securities finance markets. U.S. travel company settles OFAC charges for Cuba sanctions violations. FINRA proposes fee increases.

FinCEN and OFAC warm of increased ransom ware risk. CFTC charges crypto-derivatives platform with trading and AML violations. NFA provides relief from on-site inspection requirement. Broker-dealer settles SEC charges for short sale order marking violations. Trust company settles SEC charges for registration failures. CFTC requests nominations for new agricultural advisory subcommittee.

Two public companies settle SEC charges for EPS disclosure violations. Investment bank settles SEC and CFTC charges for spoofing. ESMA to recognize three UK CCPs.

SEC Commissioner Peirce cautions against prescriptive approach to ESG. Gaming company settles SEC charges for sales of unregistered tokens. FSOC review proposed regulatory framework for secondary mortgage market. OFAC extends authorization of “wind down” transactions for certain Chinese entities. 

Financial associations urge SEC to "modernize" regulatory communications. ISDA outlines timetable for IBOR fallbacks protocol and supplement. New Executive Order imposes further sanctions on Iran. OFAC adds new prohibitions to Cuban assets control regulations. British and American financial industry representatives call for cross-border cooperation. CFTC supplements bankruptcy proposal. IRS issues final regulations on transfers of partnership interests.

SEC adopts amendments to shareholder proposal rule. SEC Director Stephanie Avakian highlights record on enforcement. FINRA proposes amendments to codes of arbitration. FINRA seeks comment on procedures to address qualification exam misconduct. FINRA Foundation researchers find correlations between financial confidence and cognitive health. IRS challenges qualified dividend treatment.