The CFTC announced that Charlie Thornton, Chief of Staff and Chief Operating Officer under Chair Heath P. Tarbert, will depart the agency.

FINRA proposed amendments to its Private Placement Filer Form, which members are required to complete upon submission of certain private placement filings.

The Alternative Reference Rates Committee Chair Tom Wipf highlighted developments in the transition away from LIBOR and stressed the need for market participants to (i) "immediately" cease issuing USD LIBOR-based instruments and (ii) take "proactive measures" for relevant contracts maturing after June 2023.

The Board of IOSCO issued nine best practices for handling customer complaints, with a focus on retail investors.

The OCC postponed publication in the Federal Register of its adopted rule that codifies existing guidance to ensure fair access to financial services.