In its November disciplinary report, FINRA recapped actions against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities laws and rules.

The OCC, the Federal Reserve Board and the FDIC adopted amendments to the capital requirement for U.S. banking organizations engaged primarily in custodial activities.

The OCC, the Federal Reserve Board and the FDIC will implement a standardized approach to calculating the exposure amount of derivative contracts under the "regulatory capital rule."

The Federal Reserve Board proposal to extend the single-counterparty credit limit compliance dates for foreign banking organizations was published in the Federal Register. Comments on the proposal must be submitted by December 20, 2019.