In an Interpretive Letter, the Office of the Comptroller of the Currency clarified the authority of (i) banks to engage in cryptocurrency activities and (ii) the OCC to charter national trust banks.

The CFTC published in the Federal Register a request for information and comment on potential modifications to its swap clearing requirement to address benchmark reform.

A broker-dealer settled FINRA charges for failing to immediately display customer limit orders and for related supervisory violations.

A broker-dealer and its principal settled FINRA charges for negligent misrepresentations, omissions and supervisory failures concerning the offering of promissory notes issued by its parent company.