A broker-dealer settled FINRA charges for failing to accurately report trades to the MSRB.

The CFTC adopted final rules for granting derivatives clearing organization registration exemptions to non-U.S. clearinghouses seeking to clear proprietary swaps for certain U.S. persons and futures commission merchants.

The SEC adopted rule amendments designed to "modernize, simplify, and enhance" certain public company financial disclosure requirements.

The Investment Adviser Association and National Regulatory Services reported on the state of the SEC-registered investment advisers profession "based on data from before the coronavirus (COVID-19)."

The Office of Compliance Inspections and Examinations identified compliance issues for investment advisers in connection with the Compliance Rule.