​The SEC Division of Corporation Finance stated that it would not regard "Protocol Mining" as involving "the offer and sale of securities."

CFTC staff issued an interpretation clarifying reporting requirements under a substituted compliance order for Japanese nonbank swap dealers.

A firm settled FINRA charges for failing to implement a reasonable anti-money laundering compliance program and for deficiencies in trade confirmation disclosures.

The Consolidated Audit Trail, LLC filed a proposal with the SEC to amend CAT Rules to make the removal of personal information mandatory.

A firm settled FINRA charges for failing to timely transfer Unit Investment Trusts through the Automated Customer Account Transfer Service.