OFAC issued guidance reminding U.S. persons that dealings involving Sudan remain subject to a number of restrictions, notwithstanding the easing of many Sudan-related sanctions beginning in 2017, and the removal of Sudanese Sanctions Regulations in 2018.

IOSCO reviewed changes in the way that liquidity is provided in the secondary markets for equity securities.

The President's Working Group on Financial Markets made several recommendations to the SEC addressing the Public Company Accounting Oversight Board's lack of access to auditors of Chinese companies listed in the United States.

The North American Securities Administrators Association urged the DOL not to adopt a proposed class exemption under ERISA, arguing that it would "jeopardize" the security of retirement investors.

In separate CFTC, SEC and FINRA actions, a dually registered futures commission merchant and broker-dealer settled charges of AML compliance and suspicious activity report filing failures.