The SEC approved a FINRA proposal to address the application of FINRA rules to security-based swaps.

In response to a Bank of England consultation on stress testing of central counterparty clearinghouses, ISDA and FIA urged global regulatory coordination.

The CFTC Market Participants Division staff provided financial reporting relief to nonbank swap dealers in Australia and Singapore.

A New York City-based company settled CFTC charges for offering off-exchange, event-based binary options contracts and for failing to obtain designation as a designated contract market or registration as a swap execution facility.

The Chicago Mercantile Exchange amended a rule on swap elections in connection with the transition from LIBOR to SOFR.

FINRA revised and redesignated its Interpretations of the SEA Financial and Operating Rules to align with recent SEC amendments.

The CFTC issued revised no-action letters related to current expected cessation dates of various LIBORs.

NFA adopted an amendment to the examination requirement for branch office managers of firms that engage only in swap activities.

A broker-dealer / swap dealer settled parallel SEC and CFTC charges for "widespread" recordkeeping failures related to communications on personal devices, personal email and Internet applications.

The SEC proposed three new rules relating to security-based swaps: (1) an anti-fraud rule, (2) a rule to require reporting of large positions in security-based swaps, and (3) a rule prohibiting personnel of an SBS entity from taking any action to improperly interfere with the SBS entity's CCO in the performance of such persons duties.