The SEC reported that four anonymous whistleblowers will receive $122 million for providing information and assistance in SEC investigations and enforcement actions.

A US District Court found that the SEC "plausibly alleged that at least some of the cryptocurrency transactions that Kraken facilitates on its network constitute investment contracts, and therefore securities, and are accordingly subject to securities laws." As a result, the Court denied the crypto trading platform's Motion to Dismiss and allowed the case to proceed to trial.

A firm settled Nasdaq Stock Market LLC charges for failure to maintain "continuous two-sided trading interest during regular market hours at prices within certain percentages away from the National Best Bid or Offer."

The CFTC issued no-action relief to certain EU- and UK-based derivatives clearing organizations from US regulatory requirements on swap extinguishment and replacement, initial margin calculations and collection, minimum capital requirements and straight-through-processing.

A firm settled FINRA charges for failing to fingerprint and implement background screening procedures for non-registered employees.