The SEC Division of Trading and Markets sent a letter to FINRA CEO Robert Cook in which it recommended that FINRA review the regulation of U.S. Treasury Securities.

The CFTC granted fully registered swap execution facility status to Seed SEF LLC, a hemp exchange company seeking to operate trading platforms for derivatives in emerging agricultural markets.

The Office of Financial Research examined securities-lending activity based on pilot data collected by the OFR, the Federal Reserve System and the SEC.

In response to a request by FINRA, the SEC Division of Trading and Markets granted no-action relief to broker-dealers who post collateral in swaps transactions.

The SEC settled charges against a private equity advisory firm for (i) misleading fund investors about fees and a loan agreement, and (ii) failing to supervise a senior partner who charged personal expenses to the funds.