Federal Reserve Board Governor Lael Brainard proposed an approach to Community Reinvestment Act oversight that would use metrics on retail banking services and community development to evaluate banks in low- and moderate-income neighborhoods.

A firm settled FINRA charges for failing to adopt a reasonable written methodology governing pending orders received from introducing broker-dealers.

NFA will launch its Swaps Proficiency Requirements webpage on January 31, 2020. NFA reminded members that compliance is required by January 31, 2021.

The CFTC-proposed new cross-border rules governing registration requirements applicable to swap dealers and major swap participants were published in the Federal Register.