The MSRB recently approved amendments that narrow the scope of the annual customer notification requirements under rules for (i) the delivery of investor brochures and (ii) transactions with sophisticated municipal market professionals. The amendments go into effect on October 12, 2021.

A derivatives clearing organization settled CFTC charges for failing to obtain required depository acknowledgment letters for certain futures customer fund accounts.

The SEC Division of Trading and Markets provided instructions to security-based swap entities on documentation submissions under (i) SEC capital margin and segregation rules and (ii) SBS valuation dispute notices related to portfolio reconciliation.

The SEC Division of Corporation Finance granted conditional no-action relief to an exchange-traded fund from requirements "prohibiting purchases outside of a tender offer."

The MSRB requested comment on draft compliance resources to assist regulated entities in their supervision over new issue pricing of municipal securities.