The Institute of International Bankers, ISDA and SIFMA and NFA recommended several modifications to a CFTC proposal to amend capital and financial reporting requirements for swap dealers and major swap participants.
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The MSRB reported that the trading of municipal securities declined substantially in 2019.
The SEC adopted rule amendments to the Investment Advisers Act to implement exemptions provided under the Rural Business Investment Companies Advisers Relief Act of 2018.
NFA reminded CTAs and CPOs to notify the agency if they intend to request relief from filing certain reports.
In a joint enforcement sweep, the DOJ, FBI and Chief Postal Inspector prosecuted more than 400 defendants for elder financial abuse fraud.