The CFTC proposed a rule to ban the listing and clearing of "events contracts" and "gaming" derivatives.

The Department of the Treasury's Financial Crimes Enforcement Network and the SEC jointly proposed a rule that would require SEC-registered investment advisers and exempt reporting advisers to establish, document and maintain written customer identification programs.

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SEC Chair Gary Gensler asserted that financial data is a "public good," arguing that accessible and reliable data benefits the entire economy.

A firm settled FINRA charges for failing to supervise the execution timeliness of customer orders and for failing to reasonably supervise the accuracy of memoranda for electronic orders.