The MSRB updated its FAQs for regulated entities concerning COVID-19-related regulatory relief.

FINRA proposed amendments to Consolidated Audit Trail NMS plan rules to add consistency for certain NMS Plan exemptions and "to facilitate the retirement of certain existing regulatory systems."

A broker-dealer agreed to pay $250,000 to settle various FINRA reporting violations, including failing to disclose its sales compensations on preferred securities transactions to customers.

A broker-dealer settled SEC and FINRA charges for reporting incomplete and inaccurate securities trading information.

SEC Chair Jay Clayton and SEC Division of Trading and Markets Director Brett Redfearn reviewed agency efforts to improve equity market structure.

A broker-dealer settled FINRA charges for failing to report transactions to the Trade Reporting and Compliance Engine in a timely manner.

NFA extended relief previously provided to futures commission merchants / introducing brokers, swap dealers and forex dealer members from certain recordkeeping requirements.

The SEC granted conditional relief from certain Consolidated Audit Trail reporting requirements requested by FINRA and the national securities exchanges.

The MSRB provided additional guidance for regulated entities concerning COVID-19-related regulatory relief.

The CFTC's Division of Swap Dealer and Intermediary Oversight and Division of Market Oversight extended relief previously provided to registrants due to compliance challenges caused by COVID-19.

SIFMA urged the SEC to prohibit self-regulatory organizations from bulk downloading retail customers' personally identifiable information from the Consolidated Audit Trail.

FINRA and the national securities exchanges participating in the National Market System Plan Governing the Consolidated Audit Trail amended a previous request to the SEC for exemptive relief from certain reporting requirements.

At an SEC Fixed Income Market Structure Advisory Committee meeting, SEC Chair Jay Clayton and Commissioners Elad L. Roisman and Hester M. Peirce addressed issuers concerning rating agencies, bond pricing, trade transparency and internal fund crosses.

The SEC amendments to facilitate the implementation of the Consolidated Audit Trail and impose public transparency and financial accountability requirements were published in the Federal Register.

The SEC approved on an accelerated basis a FINRA proposal to add Consolidated Audit Trail compliance rules to FINRA's Minor Rule Violation Plan.

The CFPB extended the comment deadline an additional 60 days on a supplemental rule proposal to amend certain requirements on the collection of time-barred debts. The new comment deadline is August 4, 2020.

A broker-dealer settled FINRA charges for publishing inaccurate order execution information.

The SEC adopted amendments to facilitate the implementation of the Consolidated Audit Trail. The amendments impose public transparency and financial accountability requirements.

A broker-dealer settled FINRA charges for inaccurately reporting to the Trade Reporting and Compliance Engine the capacity in which it acted in executing reportable transactions.

FINRA proposed amendments to add Consolidated Audit Trail compliance rules to FINRA’s Minor Rule Violation Plan.

The CBOE Futures Exchange Business Conduct Committee sanctioned two traders, in separate actions, for certain trading rule violations.

SIFMA President and CEO Kenneth E. Bentsen, Jr. urged the SEC not to make broker-dealers liable for any potential security breaches in the agency's consolidated audit trail.

The SEC issued Orders granting exemptive relief to support the implementation of the Consolidated Audit Trail.

A broker-dealer settled FINRA charges for Order Audit Trail System reporting violations.

The SEC granted a request from various securities exchanges to provide limited exemptive relief from timestamp granularity requirements under the National Market System Plan Governing the Consolidated Audit Trail.