The CFTC final rule amending agency rulemaking procedures was published in the Federal Register

FinCEN invited the public to nominate members for the Bank Secrecy Act Advisory Group.

The SEC final rule establishing recordkeeping and financial reporting requirements applicable to broker-dealers and security-based swap dealers was published in the Federal Register. The final rule becomes effective on February 14, 2020.

A former executive of a brokerage firm settled SEC charges for illicitly securing business deals with a Malaysian state-owned and controlled investment fund.