A CFTC final rule establishing new cross-border rules governing registration requirements applicable to swap dealers and major swap participants was published in the Federal Register.

FinCEN adopted a final rule that will make current AML, Customer Identification Program and beneficial ownership rules equally applicable to all types of banks.

In a study funded by FINRA's Investor Education Foundation, researchers found that financial overconfidence (i.e., high confidence in an individual's financial knowledge relative to their actual financial literacy) may result in excessive financial risk-taking.

A financial institution settled OFAC charges for processing transactions in violation of the Ukraine-Related Sanctions Regulations.

The DOJ charged two North Korean nationals and a Malaysian national with conspiracy to (i) violate North Korean Sanctions Regulations, (ii) launder funds, and (iii) violate the federal bank fraud statute.