SEC requires prior approval on SRO fee increases. ARRC updates LIBOR transition best practices on fallback protocol. FINRA warns members of imposter websites.

SIFMA seeks to vacate muni advisor BD exemption. ARRC provides transition guidance for adjustable rate mortgages and private student loans. CFPB proposes new category of qualified mortgages. A swap dealer fined for spoofing and business conduct-related violations. SEC names new Deputy Director of Enforcement.

FinCEN explains BSA enforcement policy. FINRA requests comment on "pennying" practice in corporate bond market. SEC updates operating status during COVID-19. SEC appoints Deputy Chief Accountant.

President Trump orders TikTok parent company to divest from U.S. assets. A broker-dealer settles charges for failing to detect insider trading. FINRA updates security futures risk disclosure statement. SEC swears in Caroline Crenshaw and Hester Peirce as Commissioners.

CFTC proposes amendments to uncleared swap margin rules. Banking agencies explain policy on BSA/AML cease and desist orders. An investment adviser settles SEC charges for brokerage fee disclosure failures. A broker-dealer settles finra charges for trade reporting violations. President Trump nominates replacement for CFTC Commissioner Brian D. Quintenz.

Fed Governor Brainard describes Fed approach to digital currency. GAO recommends improvements to FinCEN's geographic targeting orders. A broker-dealer fined for supervisory failures on trade recommendations. FINRA warns members of imposter website.

OCIE issues risk alert on COVID-19 compliance risks and practices. The Fed approves large bank capital requirements. FINRA proposes elimination of OATS rules in transition to CAT. SEC names New Deputy Director of OASB. SEC Deputy Chief Accountant to step down.

PWG addresses Chinese non-compliance with U.S. audit standards. OFAC issues guidance on Sudan transactions and Darfur sanctions. IOSCO considers the role of liquidity providers in the equity securities market. NASAA opposes DOL-proposed exemption for investment advice fiduciaries.

A dual registrant to pay over $38 million for AML failures. ARRC offers "SOFR Starter Kit." A broker-dealer settles FINRA charges for registration failure of staff and branch offices. Cboe imposes sanctions on broker-dealer for trading on undisclosed information. FINRA elects small and large firm Board Governors.

President issues Executive Orders against Chinese social media companies; OFAC sanctions Hong Kong leader. Ninth Circuit reverses and remands District Court decision on remedies. SEC changes process of choosing members of the IAC. U.S. Senate Committee confirms SEC and NCUA nominations. MSRB amends board governance process.