The CFTC awarded approximately $7 million to an individual whistleblower for information that led to a CFTC investigation, which found a violation of the Commodity Exchange Act.
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An MSRB-proposed rule change to increase the professional fee for municipal advisors was published in the Federal Register.
FINRA proposed extending a pilot program for market-wide circuit breakers in NMS stocks until October 18, 2020.
FINRA adopted rule amendments that eliminate certain requirements applicable to research reports on "covered investment funds," in accordance with the Fair Access to Investment Research Act of 2017.
CFTC Division of Swap Dealer and Intermediary Oversight Director Joshua B. Sterling highlighted a number of regulatory issues for swap dealers being considered at the CFTC.