In a no-action letter, the SEC Division of Investment Management stated that a mutual fund board's chief compliance officer is authorized to certify that certain transactions comply with ICA regulations.

FINRA announced the effective date of a modified trade reporting regime for agency debt securities.

The SEC will exempt persons affected by Hurricane Michael from certain requirements of the Exchange Act and Investment Company Act. For the period from October 10, 2018 through November 21, 2018, all reports, schedules or forms subject to the relief can be filed by November 23, 2018. The SEC also adopted interim final temporary rules for issuers impacted by Hurricane Michael. The temporary rules, which are effective from the date of publication in the Federal Register through November 23, 2018, extend the filing deadlines for certain reports and forms due pursuant to Regulation Crowdfunding

The Consumer Financial Protection Bureau ("CFPB") listed the regulatory matters that it will consider from October 1, 2018 to September 30, 2019. On its official website, the CFPB explained that much of the current rulemaking work is focused on implementing directives mandated in the Economic Growth, Regulatory Relief and Consumer Protection Act, the Dodd-Frank Act and other statutes. The agency said that it intends to reconsider the Payday, Vehicle Title, and Certain High-Cost Installment Loans rule before the scheduled compliance date in August 2019. Further, the CFPB will continue to

In a new study, the Depository Trust & Clearing Corporation ("DTCC") concluded that a distributed ledger platform has the capacity to support average daily trading volumes in the U.S. equity market of more than 100 million trades per day. DTCC cautioned that the study only tested basic functionality and that additional work is needed to determine whether the technology can meet resiliency, security and regulatory requirements. In a separate independent study, Gesellschaft für Technologietransfer ("GFT"), a provider of business, IT and software services, concluded that a distributed ledger