NFA extended temporary relief from July 23, 2020 to September 30, 2020 for applicants and registrants from CFTC fingerprint requirements.

The UK Financial Conduct Authority and European authorities confirmed that prior understandings reached regarding cooperation and information exchange will go into effect on December 31, 2020.

FINRA amended the Codes of Arbitration Procedure for Customer and Industry Disputes to apply minimum fees to all requests for expungement of customer dispute information.

A broker-dealer settled SEC charges for violating retail order period restrictions in connection with the offering of municipal bonds.

At a meeting of the CFTC Technology Advisory Committee, industry representatives considered presentations on automated and modern trading markets, distributed ledger technology and market infrastructure, virtual currencies, and cybersecurity.