The SEC adopted amendments to the procedural requirements and resubmission thresholds under the Securities Exchange Act rule on shareholder proposals.

FINRA proposed amendments to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to modify the process for expunging customer dispute information.

FINRA requested comment on proposed procedures to address misconduct by non-associated persons during FINRA qualification examinations.

SEC Director of the Division of Enforcement Stephanie Avakian highlighted efforts "to combat wrongdoing, compensate harmed investors, and maintain confidence in the integrity and fairness of our markets."

In two new studies funded by the FINRA Investor Education Foundation, researchers found correlations between financial confidence and financial literacy and cognitive health in older persons.

The FTC proposed amendments to the Hart-Scott-Rodino rules that affect financial investors, and requested comment on aspects of the mergers and acquisitions framework in anticipation of other possible rule changes.

The Federal Reserve Board solicited public input on modernizing the "regulatory and supervisory framework" of the Community Reinvestment Act.

In an Interpretive Letter, the OCC affirmed the authority of a national bank or federal savings association to hold stablecoin reserves for customers, subject to certain conditions.

IOSCO adopted guidance on mitigating conflicts of interest and conduct risks for market intermediaries in debt capital market transactions.

The DOJ and the SEC charged a senior index manager with perpetrating an insider-trading scheme.

SEC Chair Jay Clayton described the performance of the Division of Enforcement over the course of his term as being "investor-focused, nimble and vigorous."

FINRA Executive Vice President Michael Rufino will step down from his role at the end of 2020.

The CFPB extended its comment deadline for proposed amendments that would establish a new category of "qualified mortgages."

A CFTC proposal that would amend the uncleared swap margin requirements for which there is no prudential regulator and codify prior no-action relief related to the application of rules on minimum transfer amounts was published in the Federal Register.

A telecommunications sales company settled its potential civil liability with OFAC for apparent violations of Sudanese sanctions regulations.

A broker-dealer settled FINRA charges for failing to develop and implement a sufficient supervisory system over sales of non-traditional exchange traded products.

In an op-ed in The Wall Street Journal, CFTC Chair Heath Tarbert and European Commission Executive Vice President Valdis Dombrovskis described recent action on regulation and supervision of DCOs.

The FTC proposal to clarify that Parts 642 and 698 under the Fair Credit Reporting Act apply only to motor vehicle dealers was published in the Federal Register.

Technical corrections to an OCC, Federal Reserve Board and FDIC standardized approach to calculating the exposure amount of derivative contracts under the "regulatory capital rule'" were published in the Federal Register.

The CFTC adopted amendments to regulations governing (i) real-time public swap reporting and dissemination, (ii) swap data recordkeeping and reporting, and (iii) swap data verification policies and procedures.

The CFTC adopted amendments to rules requiring registration for non-U.S. derivatives clearing organizations.

The CFTC proposed a supplement to an existing proposal to amend regulations governing commodity broker bankruptcies.

FINRA proposed a rule change that would require firms to use the same timestamp granularity for trade reports to FINRA's Equity Trade Facilities that are used in submissions to the consolidated audit trail.

FinCEN solicited comment on potential amendments to the rules under the Bank Secrecy Act that would specify the elements of "an effective and reasonably designed" AML program.

The Division of Clearing and Risk and the Division of Swap Dealer and Intermediary Oversight provided relief and guidance concerning the treatment of separate accounts of a single beneficial owner by futures commission merchants.