FINRA reminds broker-dealers to prepare for LIBOR transition. A consumer loan company settles SEC charges for FCPA violations. SEC names new Chief Accountant for Division of Corporation Finance.

SEC proposes amendments to mutual fund and ETF disclosure framework. Investment advisers settle SEC charges for brokerage fee misrepresentations. NYMEX settles CFTC charges for confidential information disclosure. SEC Enforcement Co-Director Peiken leaving SEC

SEC Commissioners challenge Small Business Advisory Committee to improve access to capital. FFIEC encourages financial institutions to support borrowers as loan accommodations near end. SEC provides temporary process for submitting confidential information. FIA highlights pandemic response efforts.

With Executive Order looming, Microsoft in talks to purchase TikTok. FinCEN issues new FAQ on CDD requirements for covered financial institutions. A pharmaceutical company and former executives settle SEC charges for non-GAAP reporting failures. A broker-dealer settles FINRA charges for supervisory failures involving contingency offerings.

FINRA offers guidance on virtual business entertainment. OFAC adds Chinese entity to SDN list in connection with human rights abuses. FinCEN alerts financial institutions to red flags of pandemic-related cybercrime. FINRA proposes amendments to firm designated ID requirements. A broker-dealer settles FINRA charges for direct market access failures. House Committee members consider CFPB Semi-Annual report.

SEC IM Director highlights immediate and intermediate initiatives. EC proposes capital market recovery package to support European businesses. Senate Committee members consider CFPB semi-annual report. Trade associations tout digitization of financial markets. CFTC MRAC approves recommendations for CCP discounting transition.

NYDFS urges DOL to reconsider proposed amendment on investment recommendations. SEC creates new OCIE "Event and Emerging Risks Examination Team." A broker-dealer settles FINRA charges for failure to detect suspicious activity and file SARs. Congress asks FHFA director to pause enterprise regulatory capital rulemaking. FINRA proposes extension of temporary relief for staff from procedural requirements. FINRA extends effective date for amendments to TRACE reporting requirements

SIFMA asks FINRA to allow remote branch office inspections. SEC staff says firms are complying with Form CRS requirements. A broker-dealer settles FINRA charges for failure to follow AML procedures. DOJ charges PPP loan applicant with fraud. SEC charges adviser for failure to disclose conflicts of interest. A manufacturer settles OFAC charges for violating Iranian transactions and sanctions regulations. ISDA begins publishing monthly data on usage of risk-free rates.

CFPB to propose rule on consumer-authorized access to financial data. A broker-dealer settles FINRA charges for private placement conduct failures. SEC staff permits Indian company to shorten tender offer period. Another broker-dealer fined for over-tendering shares into partial tender offer.

Agencies finalize orderly liquidation rule for covered broker-dealers. GAO reviews resolution planning requirements and the role of the OLA. NY Fed expands eligibility to service emergency lending facilities. DOJ files complaint for forfeiture of funds used in North Korean money laundering scheme. DOJ charges tech executive with PPP fraud and money laundering. A broker-dealer settles FINRA charges for OATS reporting failures.