A bank settled OCC charges for violating the statutory holding period for "other real estate owned" and failing to implement corrective measures.

The MSRB-amended proposal to update an interpretive notice on the conduct of municipal securities underwriting and municipal advisory activities was published in the Federal Register. Comments must be submitted by October 29, 2019.

The SEC made technical corrections to a final rule establishing security-based swap capital, margin and segregation requirements.

The MSRB will implement a new examination requirement on November 12, 2019 for those seeking to qualify as municipal advisor principals.

The MSRB requested topics for consideration by advisory groups for the 2020 fiscal year.