The SEC charged a former registered representative with Exchange Act violations in connection with allegations that he gave certain customers preferential access to initial public offerings and secondary offerings in exchange for cash kickbacks.

The CFTC requested comments on a proposed interpretation of the term "actual delivery" in the context of virtual currency retail transactions. Comments are due by March 20, 2018.

FINRA's Board of Governors approved its 2018 operating budget and updated its Financial Guiding Principles.

The SEC Division of Investment Management granted no-action relief to registered investment companies that keep assets in the custody of certain clearinghouses, or any of their clearing members, to meet margin requirements for certain swaps.