A broker-dealer settled FINRA charges for deficient research report disclosures and failure to implement information barriers between the firm's investment banking and research personnel.

A CFTC final rule aimed at preventing certain bad actors from seeking exemptions from registration as CPOs under CFTC Rule 4.13 ("Exemption from Registration as a Commodity Pool Operator") was published in the Federal Register.

At an SEC roundtable on the risks of investing in companies with operations in emerging markets, SEC Chair Jay Clayton and Commissioner Elad L. Roisman focused on disclosure, financial reporting standards, compliance and enforcement.

Amazon settled OFAC charges for violating multiple sanctions programs by providing "goods and services to persons sanctioned by OFAC."

FINRA encouraged firms to continue communications with their Risk Monitoring Analyst on firm activities related to digital assets.