The SEC and FINRA addressed issues concerning the application of customer protection, recordkeeping and reporting rules to digital asset securities and transactions.

The CFTC granted a registered derivatives clearing organization no-action relief from various stress testing and reporting requirements because its transactions are fully collateralized.

On June 21, 2019, the SEC adopted new rules and rule amendments that establish security-based swap capital, margin and segregation requirements.

The SEC adopted new rules and rule amendments to establish security-based swap capital, margin and segregation requirements.

A broker-dealer settled FINRA charges related to reporting, recordkeeping and supervisory failures on inaccurate net capital and customer reserve calculations.

SEC Office of Compliance Inspections and Examinations Director Peter Driscoll urged firms to establish and maintain strong compliance programs that address AML, microcap securities, paying agents and cybersecurity.

SEC Office of Compliance Inspections and Examinations Director Peter Driscoll highlighted key risks facing retail investors caused by bad actors and poor internal controls.

The Office of the Comptroller of the Currency requested feedback on its fiduciary activities rules and a potential rule for non-fiduciary custody activities.

FINRA proposed adopting legacy NASD and Incorporated NYSE Rules and Interpretations into the consolidated FINRA rulebook without any substantive changes.

The CFTC rule change requiring the notification of counterparties concerning their right to elect to segregate initial margin in transactions with swap dealers was published in the Federal Register.