A firm settled FINRA charges for failure to comply with short interest reporting requirements and related supervisory failures concerning certain foreign-listed securities.

The CFTC final rule amendments incorporating staff guidance on CPO and CTA registration and reporting requirements were published in the Federal Register.

In a new report, the SEC highlighted activities and recommendations from an August 2019 forum organized by the Office of the Advocate for Small Business Capital Formation.

The CFTC provided guidance for swap dealers, futures commission merchants and major swap participants on annual compliance report requirements.

The CFTC adopted final rule amendments that incorporate CFTC staff guidance on CPO and CTA registration and reporting requirements.

The CFTC approved final rule amendments to simplify regulatory obligations for CPOs and CTAs by codifying certain staff advisories and no-action letter relief.

CFTC Commissioner Dawn D. Stump recommended steps to "streamlin[e]" the collection of certain types of data under the agency's Data Protection Initiative.

FINRA reminded broker-dealers of upcoming due dates for required filings in 2020 and the first quarter of 2021.

The SEC reminded registered investment companies of certain requirements concerning filing monthly portfolio investment reports (N-PORT) and annual reports (N-CEN).

The CFPB adopted a final rule designed to provide relief to smaller firms by extending the temporary reporting data threshold under the Home Mortgage Disclosure Act.