The CFTC Division of Market Oversight and Division of Swap Dealer and Intermediary Oversight issued a series of no-action letters to registrants as COVID-19 continues to pose compliance challenges.

Secretary of the Treasury Steven T. Mnuchin named Brian P. Brooks as the new Office of the Comptroller of the Currency Chief Operating Officer and First Deputy Comptroller.

In its March disciplinary report, FINRA recapped actions against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities laws, rules, and regulations.

The SEC issued a waiver to make a CBOE Exchange, Inc. proposal that facilitates electronic options trading on the exchange effective immediately.

The SEC Division of Corporation Finance and Division of Investment Management provided guidance for market participants affected by COVID-19 who may have difficulties complying with federal proxy rules.