A broker-dealer settled FINRA charges for violating minimum net capital requirements and for failing to comply with books and records rules.

The Alternative Reference Rate Committee requested no-action relief from the CFTC Division of Swap Dealer and Intermediary Oversight relating to certain changes to swaps in the context of the central counterparty clearinghouse discounting transition.

SEC Chair Jay Clayton, Commissioners Hester Peirce and Elad Roisman and Office of Municipal Securities Director Rebecca Olsen solicited feedback on ways to improve municipal securities disclosure practices.

NFA amended AML interpretive guidance for futures commission merchants and introducing brokers to incorporate CFTC guidance on the regulatory obligations of "voice" brokers.

The SEC named Jennifer S. Leete the new Associate Director in the Division of Enforcement.