A broker-dealer settled FINRA charges for violations of intermarket sweep order regulations and supervisory rules.

FinCEN Acting Director Him Das highlighted new threats, new innovation and public-private partnerships in the transformation of the AML/Counter-Terrorist Financing regulatory regime.

CFTC Commissioner Dawn D. Stump described regulatory challenges presented by financial market innovation.

OCC Acting Comptroller Michael J. Hsu identified some of the risks associated with stablecoins and suggested that the regulation of issuers as banks could actually enable more durable innovation.