Treasury announced that, after the necessary consultation with the FDIC and the SEC, it is providing a retail broker-dealer with a conditional exemption from certain Dodd-Frank recordkeeping requirements for certain of its qualified financial contracts.

In an Investment Funds Statistics Report, IOSCO assessed the risks within the global investment funds industry.

SIFMA recommended substantial changes to the SEC's proposed rulemaking on electronic recordkeeping requirements for broker-dealers, security-based swap dealers and major security-based swap participants.

A California-based registered money services business settled potential civil liability for alleged violations of the Cuban Assets Control Regulations.

A New York City-based company settled CFTC charges for offering off-exchange, event-based binary options contracts and for failing to obtain designation as a designated contract market or registration as a swap execution facility.