The North American Securities Administrators Association urged the DOL not to adopt a proposed class exemption under ERISA, arguing that it would "jeopardize" the security of retirement investors.

In separate CFTC, SEC and FINRA actions, a dually registered futures commission merchant and broker-dealer settled charges of AML compliance and suspicious activity report filing failures.

FINRA elected Wendy Lanton and reelected Jim Nagengast to the Board of Governors.

The Alternative Rates Reference Committee developed a Secured Overnight Financing Rate "Starter Kit" to provide information about the transition from LIBOR to SOFR.

The Cboe C2 Exchange, Inc. imposed sanctions against a broker-dealer for trading on two customer orders prior to disclosing them to the trading crowd.