The CFTC’s Market Participants Division granted a no-action request to a crypto wallet software provider, permitting it and certain of its personnel to offer front-end software facilitating trading in CFTC-regulated derivatives without registering as an introducing broker, or associated persons, respectively.

The SEC proposed amendments to SEA Rule 15c2-11 that would limit the rule’s information-gathering and review requirements to broker-dealers publishing or submitting quotations for "equity securities" in over-the-counter markets.

The International Swaps and Derivatives Association recommended several regulatory reforms to address frictions in securities financing transactions that can constrain the availability of secured funding during periods of market stress.

A firm settled FINRA charges for failing to develop and implement an anti-money laundering program reasonably designed to detect and report suspicious transactions involving low-priced securities, and for failing to establish an adequate due diligence program for correspondent accounts of the firm's affiliated foreign financial institutions.

The North American Securities Administrators Association submitted a comment letter urging congressional lawmakers to modify proposed digital asset legislation to ensure the preservation of essential state regulatory authority.