The Federal Reserve Bank and the Office of the Comptroller of the Currency fined a bank for failing to monitor firm and client trading activities.
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A company offering crypto asset-related financial products and services settled charges with the SEC for failing to register securities offerings.
The Financial Stability Oversight Council and the Financial Stability Board considered the "post-LIBOR transition landscape" and steps forward to ensure market resilience.
In an Investor Bulletin, the SEC and FINRA described the various ways in which a customer may hold securities and warned of the risks associated with crypto assets.
The CFTC approved a "made-available-to-trade" determination for certain overnight index swaps referencing the Secured Overnight Financing Rate and Sterling Overnight Index Average.