A broker-dealer settled FINRA charges for failing to maintain written AML policies reasonably designed to detect suspicious transactions.

The effective date for a CFTC final rule to remove the mandatory clearing requirements relating to LIBOR will be September 23, 2022, with the exception of amendatory instructions 3 and 5, which will become effective July 1, 2023.

ISDA urged the SEC to exclude all derivative transactions from its proposed rule amendments that would require funds to provide disclosures as to greenhouse gas emissions.

A group of financial trade associations requested an extension to a comment deadline on proposed amendments to a Prohibited Transaction Class Exemption ("QPAM"). The exemption allows qualified registered investment advisers, banks, savings and loans and insurance companies to engage in otherwise prohibited transactions related to ERISA plan assets.