SEC Chair Gary Gensler marked the commencement of real-time reporting for securities-based-swap transactions.
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Twelve financial firms, six broker-dealers and six investment advisers agreed to pay penalties ranging from $10,000 to $97,523 to settle SEC charges alleging that the firms failed to meet Form CRS obligations.
OFAC issued new regulations related to investments in companies linked to China's military and security services.
In a new report, the Financial Stability Board updated its assessment of the risks to financial stability created by crypto-assets.
FINRA adopted amendments to its rule on the financial exploitation of specified adults. The amendments relate to placing holds on securities transactions and extending temporary holds on a disbursements or transactions.