The SEC and FINRA addressed issues concerning the application of customer protection, recordkeeping and reporting rules to digital asset securities and transactions.

SEC Chair Jay Clayton highlighted the benefits of settlement agreements and announced a change in the agency's approach to contemporaneous settlement offers and waiver requests.

The SEC voted to propose a reduction in the margin requirement for an unhedged security futures position and to align the margin offset table for security futures with the reduced margin requirements.

An SEC rule to amend the interpretation of "auditor independence" when the auditor has a lending relationship with the shareholders of an audit client was published in the Federal Register.

A broker-dealer settled FINRA charges for failing to adequately supervise a registered representative's participation in private securities transactions.