A broker-dealer settled FINRA charges for failing to report transactions subject to the exercise of an OTC option.

In a statement on the discontinuation of LIBOR, the SEC staff noted the risks associated with the transition from LIBOR to alternative reference rates.

A broker-dealer settled multiple state charges, coordinated by the North American Securities Administrators Association, for selling unregistered non-exempt securities.

The CFTC and the Japan Financial Services Agency agreed to extend cross-border regulatory deference to certain electronic derivative trading platforms subject to comparable regulation.

The Alternative Reference Rates Committee provided recommended fallback contract language for new closed-end, residential adjustable-rate mortgages that reference U.S. dollar LIBOR.