The SEC filed charges against a trading platform and its CEO for operating as a broker-dealer, an exchange and a clearing agency of crypto asset securities without registering with the SEC.

The CFTC set a comment deadline on proposed rule amendments which would codify no-action relief regarding the treatment of separate accounts by futures commission merchants ("FCMs"). The comment deadline was published in the Federal Register.

The Federal Reserve Board approved UBS Group AG's application to acquire the U.S. subsidiaries of Credit Suisse Group AG.

The SEC granted "accelerated approval" of a FINRA rule proposal, as modified by "Amendments Nos. 1 and 2," to change the process relating to the expungement of customer dispute information in FINRA's Codes of Arbitration Procedure.

The New York Department of Financial Services adopted a final regulation implementing an approach to assessing costs and expenses of individuals who are regulated by the NYDFS and engage in "virtual currency business activity."