NASAA amended its Model Business Conduct Rule to incorporate the SEC's Reg BI duty of care obligation for investment recommendations to retail customers, and to clarify this conduct standard "for purposes of state interpretation and enforcement."

The SEC Crypto Task Force released the names of panelists for an upcoming roundtable on the regulation of crypto trading.

A firm settled FINRA charges for failing to timely report transactions in TRACE-eligible corporate debt securities.

A broker-dealer settled FINRA charges for Regulation Best Interest violations, inaccurately reporting net capital and failing to conduct required anti-money laundering testing.

The CFTC Market Participants Division granted no-action relief to swap dealers if they fail "to satisfy the Pre-Trade Mid-Market Mark requirements for their swaps with non-Swap counterparties."