CFTC staff extended previously issued COVID-19 related no-action relief to futures commission merchants, floor brokers and introducing brokers from certain oral recordkeeping, audit trail and time-stamping requirements.

OFAC regulations implementing a Hong Kong-related executive order were published in the Federal Register.

CFTC Office of Legislative and Intergovernmental Affairs Director Summer Mersinger will become Commissioner Dawn Stump's new Chief of Staff.

A firm settled FINRA charges for violations of content standards in private offerings sold by the firm and sent to potential investors.

The DOL named five new members and two officers to the 2021 Advisory Council on Employee Welfare and Pension Benefit Plans.