The Acting Director of the CFTC Division of Enforcement issued guidance to staff on when to recommend that a respondent's self-reporting, cooperation or remediation be recognized in Commission enforcement orders.
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A FinCEN and Federal Reserve Board rule proposal to reduce the dollar-value threshold at which the Bank Secrecy Act requires financial institutions to obtain, retain and transmit information on certain fund transfers and transmittals was published in the Federal Register.
FINRA proposed to amend its private placements filing requirements to include retail communications.
SEC Chair Jay Clayton, Division of Investment Management Director Dalia Blass, Division of Corporation Finance William Hinman and Division of Trading and Markets Brett Redfearn directed staff "to review the effectiveness of the existing regulatory requirements in protecting investors ... who invest in leveraged/inverse products and other complex products."
A broker-dealer settled FINRA charges for disclosure and reporting failures concerning customer complaint information.