In a Complaint filed in the U.S. District Court for the Southern District of Florida, the SEC alleged that a "purported internet investment adviser firm and its president failed to properly register and to provide books and records for examination.

At an SEC Fixed Income Market Structure Advisory Committee meeting, SEC Chair Jay Clayton and Commissioners Elad L. Roisman and Hester M. Peirce addressed issuers concerning rating agencies, bond pricing, trade transparency and internal fund crosses.

The DOJ issued updated guidance to prosecutors regarding how to evaluate the compliance programs of corporations undergoing a criminal investigation or prosecution.

FINRA proposed extending a credit default swap margin pilot program until September 1, 2021. The pilot program has been in place since 2009.

The Federal Reserve Board expanded the eligibility for the Municipal Liquidity Facility.