The Financial Crimes Enforcement Network requested comment on proposed amendments to the definitions of "broker or dealer in securities" and "broker-dealer" under Bank Secrecy Act regulations. The proposed definitions would include funding portals that are involved in the offering or selling of crowdfunding securities.

The CFTC and the SEC proposed that certain capacity contracts in electric power markets and certain natural gas contracts should not be considered “swaps” under the CEA because they are examples of customary commercial arrangements.

FINRA and the MSRB jointly reminded member firms of obligations connected to: (i) privately placing municipal securities directly with a single purchaser; and (ii) using bank loans as alternatives to traditional public offerings in the municipal securities market.

The CFTC awarded more than $10 million to a whistleblower for providing information that led to a successful CFTC enforcement action.

A Federal Reserve Bank of New York Staff Report determined that supervisory stress test disclosures continue to: (i) provide new information; and (ii) serve as a supervisory mechanism to assess the capital adequacy of large, complex bank holding companies.