The Federal Reserve Board announced a new rule set applicable to FRB policymakers and senior staff that will prohibit them from (i) purchasing individual stocks, (ii) investing in individual bonds and in agency securities and (iii) entering into derivatives.

FINRA's National Adjudicatory Council revised its Sanctions Guidelines to include CAT reporting violations guidelines. The revisions reflect the transition of audit-trail reporting from OATS to CAT.

A FINRA proposal to extend a pilot program that governs the review of "clearly erroneous transactions" in exchange-listed securities under FINRA Rule 11892 was published in the Federal Register.

On a London Stock Exchange Investor Group webinar, SEC Commissioner Allison Herren Lee highlighted the SEC's role within a "whole-of-government" approach to combating the risks associated with climate change, including enhanced disclosures to inform markets and policymaking.

At a DOJ Cybersecurity Roundtable, Deputy Attorney General Lisa O. Monaco highlighted the national security threats posed by cyber attacks. She underscored the necessity of greater cooperation between the DOJ and private industry.