FTC approves new compulsory process resolutions. FDIC sets up new mission-driven bank fund. NASAA offers recommendations on implementing Model Act to protect seniors from financial exploitation. Coinbase applies for FCM registration. SEC awards whistleblower for independent analysis; Total payouts since 2012 surpass $1 Billion. Effective date set for FTC amendments to affiliate marketing rule. SEC approves MSRB extension for municipal advisor principal qualification examination. Effective date set for NFA amendments to definition of "branch office."

Alternative data company settles SEC charges for failure to anonymize data. Treasury and FHFA suspend certain requirements for Fannie Mae and Freddie Mac. SEC to continue telework operating status through January 3.

SEC Chair Gary Gensler testifies on regulatory Priorities. SIFMA and SIFMA AMG urge 18-month implementation for TBA margin proposal. Three media companies settle SEC charges for unregistered stock and digital assets offerings. New York Supreme Court shuts down digital asset trading company. Broker-dealer settles NYSE and NYSE Arca charges for failing to maintain continuous quotations. FINRA proposes extension of remote inspection relief. ISDA provides reporting guidance on 2021 interest rate definitions. Comment deadline set for FINRA proposal to further delay TBA margin requirements. Cadwalader Clients & Friends Memo: One-Two Punch: FTC Does About-Face on Treatment of Debt for HSR Purposes and Casts Doubt on Informal Interpretation Program.

President Biden to nominate CFTC and FTC commissioners. Firm settles charges for supervisory failures over partial tender offers. Broker-dealer settles FINRA charges for failing to properly register traders. Effective date set for FTC amendments to prescreen opt-out notice requirements.

CRS considers implications of a CFPB rulemaking on consumer-authorized access to financial data. Broker-dealer settles Nasdaq options market charges for intra-day quotation violations. SEC updates COVID-19 telework operations status. SEC OIEA cautions investors on investment scams related to Hurricane Ida. FINRA EVP of Member Supervision to retire. OFAC further delays effective date for authorization of transactions related to Petróleos de Venezuela, S.A.

SEC Chair Gensler and Commissioner Peirce offer contrasting views on market regulation. FINRA publishes Supplemental Liquidity Schedule for FOCUS reporting. CFTC Commissioner Dan Berkovitz to leave agency on October 15. Media company settles OFAC charges for Iranian sanctions violations. Former account manager charged in bribery and money laundering scheme.

Coinbase says SEC may sue to stop its lending program. OCC proposes rescission of 2020 CRA rulemaking. Broker-dealer settles FINRA charges for research disclosure violations. FTC approves Fair Credit Reporting Act rule changes.

IOSCO issues guidance on artificial intelligence and machine learning. Manufacturer and former executives settle SEC charges for expense management misconduct. Banking agencies extend comment period for proposed risk management guidance on third-party relationships.

Cboe Europe notifies SEC of intent to "familiarize" U.S. investors with its options. NFA proposes amendments to filing requirements for swap dealers using capital models. NFA proposes amendments to swap dealer regulations. MSRB proposes extension for municipal advisor principal qualification examination. Cadwalader Clients & Friends Memo: COVID-19 Update: New York Governor Signs New Moratorium Effective until January 15, 2022.

SEC Chair Gensler considers investor protection implications of evolving financial technologies. Treasury's Federal Insurance Office seeks feedback on approach to climate-related financial risks. Deadline set for SEC comment request on "digital engagement practices." CFPB debt collection regulations will go into effect on November 30. Comment deadline set for MSRB-proposed amendments to annual customer notification requirements. FINRA elects and appoints members to its board of governors.