The CFTC voted to adopt an interim final rule to delay the implementation of "Phase Five" initial margin requirements for uncleared derivatives from September 1, 2020 to September 1, 2021.

A broker-dealer agreed to settle FINRA charges for supervisory violations in connection with recommendations of potentially unsuitable early rollovers of investments in Unit Investment Trusts.

SEC Chair Jay Clayton and Division of Investment Management Director Dalia Blass described agency efforts to monitor and address the effects of COVID-19 on the market.

The SEC extended certain regulatory relief for registered transfer agents from May 30, 2020 to June 30, 2020.