The SEC Division of Corporation Finance provided temporary relief from submitting Form 144 ("Notice of Proposed Sale of Securities") via mail due to challenges presented by COVID-19.

In light of COVID-19 and related actions, the CFTC extended the comment deadlines for several proposed rule changes.

The OCC, Federal Reserve Board and FDIC joint interim final rule intended too neutralize the regulatory capital effects of participating in the Paycheck Protection Program Lending Facility for financial institutions was published in the Federal Register.

A broker-dealer settled FINRA charges for failing to prevent a representative from making unauthorized transfers of funds from customer accounts to third-party accounts and outside entities.

A broker-dealer settled FINRA charges for failing to comply with FINRA's AML compliance program requirements.