The FTC Bureau of Competition Premerger Notification Office began posting monthly totals of Hart-Scott-Rodino Act filings.

A CFTC proposal to change the compliance date for "Phase Six" of initial margin requirements from September 1, 2021 to September 1, 2022 was published in the Federal Register.

A CFTC interim final rule to delay the implementation of "Phase Five" initial margin requirements for uncleared derivatives was published in the Federal Register.

CFTC Commissioner Dawn D. Stump reviewed post-financial crisis derivatives reforms and described their effect on current markets.

A broker-dealer settled FINRA charges for deficient research report disclosures and failure to implement information barriers between the firm's investment banking and research personnel.