The U.S. House Committee on Financial Services considered testimony on several bills that would impose new requirements on investment advisors and private equity funds.

FinCEN Director Kenneth A. Blanco reminded market participants of their obligations to comply with AML regulations related to convertible virtual currencies.

Four asset management firms requested exemptive relief to operate exchange-traded funds without providing full daily transparency of their portfolios as required by the Investment Company Act of 1940.

The DOJ charged a trader and his security company with committing securities fraud, wire fraud and money laundering.

NYMEX denied several traders and a trading firm direct or indirect access to any Chicago Mercantile Exchange trading floor for failure to cooperate in an investigation of suspected trading anomalies.

The Federal Reserve Board corrected the comment deadline for a proposal to raise the threshold for bank holding companies and savings and loan holding companies, subject to Regulation TT assessments.

The OCC proposed amendments clarifying that the transfer of a loan from a national bank to another entity does not affect the legality of the interest rate on the loan, so long as the rate was valid when made.

CFTC Division of Swap Dealer and Intermediary Oversight Director Joshua B. Sterling described the CFTC’s role in overseeing CPOs and CTAs in light of the growing size and agility of the firms in the asset management industry.

In an annual report to Congress, the SEC's Office of the Whistleblower reviewed FY 2019 program activities.

NFA reminded firms that are engaged in swaps activities to pay the new annual dues surcharge by January 1, 2020.