The CFTC appointed Melissa Netram to serve as Director of the LabCFTC.

The SEC formed an Asset Management Advisory Committee with an initial two-year term beginning on November 1, 2019.

The SEC charged the former CEO and president of a Nasdaq-traded security technology company and three other individuals in a fraudulent broker bribery scheme. The DOJ filed charges against one of the individuals in a parallel action.

The SEC proposed exempting certain municipal advisor activities from broker-dealer registration requirements.