SEC Commissioner Allison Herren Lee stepped down as Commissioner on July 15th.

A banking subsidiary of American Express settled OFAC charges for multiple violations of the Foreign Narcotics Kingpin Sanctions Regulations.

ISDA CEO Scott D. O'Malia welcomed the latest consultation on the prudential treatment of banks' crypto-asset exposures published by the Basel Committee, highlighting its "conservative approach" to risk, "rather than simply imposing onerous capital requirements."

FINRA proposed rule amendments "to treat a private residence at which an associated person engages in specified supervisory activities as a non-branch location, subject to safeguards and limitations."

A broker-dealer settled FINRA charges for publishing inaccurate data in required monthly reports on order execution quality.