The SEC proposed rule amendments that would tighten the requirements that broker-dealers must meet before being permitted to post public quotations on OTC securities.

The SEC adopted a final rule to extend "test-the-waters" accommodations that allow certain communications in a contemplated initial public offering to all issuers, rather than solely to emerging growth companies.

CFTC Division of Swap Dealer and Intermediary Oversight Director Joshua B. Sterling described the "Five Building Blocks" that make up the Division's approach to a "complete regulatory program."

The U.S. House of Representatives passed the Secure and Fair Enforcement Banking Act of 2019.