The U.S. House of Representatives passed a bill that would require banking regulators to provide an annual report on their efforts to strengthen cybersecurity supervision and regulation of financial institutions.
FINRA commenced a retrospective review of reporting requirements on "specified events, internal conclusions of violations, and quarterly statistical and summary information regarding written customer complaints."
The CFTC Division of Swap Dealers and Intermediary Oversight urged chief compliance officers "to take reasonable measures" to incorporate recent swap dealer reporting guidance into 2019 annual compliance reports.
The SEC final rule establishing recordkeeping and financial reporting requirements applicable to broker-dealers and security-based swap dealers was published in the Federal Register. The final rule becomes effective on February 14, 2020.