CFTC extends no-action relief to non-U.S. SDS from swap data reporting requirements. SEC adopts amendments to Regulation S-K financial disclosure requirements. CFTC adopts cross-border DCO rule changes. Broker-dealer settles FINRA charges for AML failures. OCIE issues risk alert on adviser compliance programs. IAA and NRS report on the state of the investment adviser industry. Broker-dealer settles charges of MSRB trade reporting failures.