CFTC adopts new cross-border swaps rules. OCC allows national banks to provide digital asset custody services. Industry groups offer recommendations on SEC valuation proposal. ARRC identifies recommended conventions for SOFR "in arrears" rates. GAO reviews resolution planning requirements and the OLA. FINRA fines broker-dealer for OATS and NMS reporting failures. FINRA fines another broker-dealer for supervisory and suitability violations

CFTC adopts swap capital requirements. SEC finalizes rule amendments governing proxy advisors. CFTC MRAC considers updates on SOFR and recent market performance. NASAA examines issues concerning financial professionals with diminished capacity. A broker-dealer settles FINRA charges for best execution failures. Another broker-dealer settles FINRA charges for over-tender of shares violations. NY title insurance company charged with exposing customer information.

SEC Commissioner Peirce criticizes enforcement action against ICO issuer. President Trump authorizes sanctions on persons involved in Hong Kong human rights abuses. CFTC TAC Advisory Committee considers presentations on cybersecurity, automated trading and virtual currencies. A broker-dealer settles SEC charges for violating retail order restrictions. FINRA amends arbitration code to apply minimum fees to customer dispute expungement requests.

OCC proposes rule to determine the "true lender" of a loan. FDIC requests input on standard-setting and voluntary-certification models. SEC officials consider diversity and technology issues in asset management industry. A market maker settles FINRA charges for OTC desk automated control failures.

An UAE manufacturer settles charges for violating North Korean sanctions regulations. The FED extends PPP exception for loans to bank insiders. FINRA requests comments on additional TRACE reporting requirements. CEPS-ECMI researchers consider role of derivatives in sustainable finance. CFTC DSIO extends no-action relief on registration fingerprint requirement.

The House Financial Services Committee considers CARES Act implementation issues. SEC urges investors to be cautious of broadly advertised investment opportunities. NASAA to accept electronic mutual fund notice filings. SEC staff monitoring group considers COVID-19 market impact. SEC awards $3.8 million to whistleblower. OFAC postpones effective date of Venezuela general license. OFAC extends the expiration date of Ukraine-related general licenses.

SEC Chair Jay Clayton says securities markets functioning well despite volatility. Industry groups comment on CFTC-proposed revamp of bankruptcy rules. FATF updates AML/CFT deficiencies list. FINRA proposes increase to position and exercise limits for conventional options. A broker-dealer fined for failure to maintain requirements on "continuous two-sided trading interest."

An FSB report looks at remaining LIBOR transition challenges. OCIE warns of heightened ransomware risks. A broker-dealer settles FINRA charges for failure to demonstrate exemption eligibility for quotations in OTC equity securities. CFPB amends payday, vehicle title and high-cost installment loan regulations.

A California app developer settles SEC and CFTC charges for improper sales of derivatives. SEC proposes increasing reporting threshold requirements for institutional investment managers. CFTC deems CPO registration exemptions "ineffective." Cboe exchanges sanction general securities principals for direct market access violations. BIS finalizes adjustments to Basel III CVA Framework.

CFTC Commissioner Stump considers post-Dodd-Frank regulatory framework. A broker-dealer settles FINRA charges for violations of research rules. FTC Bureau of Competition begins publishing monthly totals of HSR Act filings. U.S. District Court rejects preemption defense on escrow account interest payments. DOJ charges Florida company with Medicare and PPP Fraud.