A broker-dealer settled FINRA charges for failing to (i) transmit required reportable order events to the Order Audit Trail System and (ii) include complete and accurate information in required quarterly reports.

The FTC Bureau of Competition Premerger Notification Office began posting monthly totals of Hart-Scott-Rodino Act filings.

FINRA encouraged firms to continue communications with their Risk Monitoring Analyst on firm activities related to digital assets.

The SEC Office of the Investor Advocate communicated its FY2021 priorities for protecting and promoting the interests of retail investors.

SEC Chair Jay Clayton, Division of Corporation Finance Director William Hinman, Division of Investment Management Director Dalia Blass and Division of Trading and Markets Director Brett Redfearn provided updates on the SEC's various pandemic relief measures.

NFA and the Alternative Investment Management Association reacted to a CFTC proposal to modify the collection of data from certain registered CPOs.

A correction to an SEC final rule establishing recordkeeping and financial reporting requirements for security-based swap dealers was published in the Federal Register.

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.

The SEC designated FINRA as the organization to which all security-based swap entities must file their financial and operational (FOCUS) reports.

FINRA provided guidance to address issues arising from temporary relief extended to firms in response to COVID-19 challenges .

A broker-dealer settled FINRA charges for failing to amend its Form 4 Registration and Transfer Application and failing to maintain a supervisory system designed to ensure timely disclosure of reportable events.

The CFTC proposed amending reporting rules and forms to enhance the integration of collected data on CPO activity.

The SEC Division of Investment Management extended the hours during which registered investment companies and business development companies can submit their EDGAR filings.

OFAC urged persons subject to U.S. sanctions, including financial institutions and other businesses, to notify OFAC of any anticipated delays in meeting certain regulatory reporting deadlines due to COVID-19.

The CFTC proposed amending reporting rules and forms to enhance the integration of collected data on CPO activity.

The MSRB requested immediate authorization from the SEC to provide extended regulatory relief to firms due to COVID-19-related disruptions to "normal business operations."

The SEC Division of Corporation Finance issued a new Compliance and Disclosure Interpretation that clarifies relief provided to registrants from filing deadline requirements.

The New York Attorney General proposed revisions to registration requirements in order to "streamline and enhance" supervision of the securities industry in New York.

The SEC Division of Corporation Finance issued two new Compliance and Disclosure Interpretations that clarify recent Exchange Act reporting extensions.

An SEC Order providing temporary exemptive relief for certain investment funds and advisers from filing requirements and in-person board meeting requirements was published in the Federal Register.

The SEC adopted a temporary final rule to provide certain relief relating to Form ID Notarizations, Regulation A and Regulation Crowdfunding requirements, and Form MA filings.

NFA provided regulatory relief to independent introducing brokers by extending the deadlines for filing financial reports. The relief was extended to address compliance issues caused by COVID-19.

The SEC extended (i) the filing periods included in previous conditional reporting relief from specific filing obligations, and (ii) certain regulatory relief provided previously for funds and investment advisers whose operations may have been impacted by COVID-19.

NFA issued no-action relief from certain reporting requirements for CPOs in light of challenges posed by COVID-19.

The CFTC Division of Swap Dealer and Intermediary Oversight issued no-action relief to provide CFTC-registered CPOs with additional time to comply with reporting requirements in light of the challenges posed by COVID-19.