A firm settled NYSE Arca charges for supervisory system violations for "failing to maintain and enforce written policies and procedures reasonably designed to prevent the potential misuse of customer order information and to supervise and enforce reasonable information barriers in connection with their stock buyback trading activity."

Federal Reserve Board Governor and former Vice Chair for Supervision Randal K. Quarles gave notice of his resignation, effective around the last week of December.

In a wide-ranging interview at the Bloomberg Financial Innovation Summit, SEC Commissioner Hester Peirce asserted that (i) there is no need for a new regulator focused solely on cryptocurrencies, and (ii) the regulatory structure eventually built around crypto must recognize the unique aspects of its underlying technology.

The International Financial Reporting Standards Foundation formed a new sustainability disclosures board and published a climate disclosure requirements prototype.

The SEC appointed Nicole Creola Kelly as the Chief of the Office of the Whistleblower.