NFA recommended that its member futures commission merchants and introducing brokers review FinCEN's recently issued FAQ concerning customer due diligence in order to ensure that their AML programs meet CDD-related regulatory obligations

FINRA warned members about imposter websites that use the names of registered representatives to fraudulently solicit information from potential customers.

The Alternative Reference Rates Committee updated its LIBOR transition "Best Practices" in anticipation of the publication of the ISDA IBOR Fallback Protocol.

The SEC rescinded a national market system plan rule exception that allowed fee changes to go into effect, upon filing with the SEC, without any public comment period or express SEC approval.

The SEC named Marc P. Berger, current Director of the SEC's New York Regional Office, as Deputy Director of its Division of Enforcement.