The SEC Crypto Task Force released the names of panelists for an upcoming roundtable on the regulation of crypto trading.

A firm settled FINRA charges for failing to timely report transactions in TRACE-eligible corporate debt securities.

A broker-dealer settled FINRA charges for Regulation Best Interest violations, inaccurately reporting net capital and failing to conduct required anti-money laundering testing.

The CFTC Market Participants Division granted no-action relief to swap dealers if they fail "to satisfy the Pre-Trade Mid-Market Mark requirements for their swaps with non-Swap counterparties."

In a public statement, the SEC Division of Corporation Finance asserted "that the offer and sale of Covered Stablecoins, ... do not involve the offer and sale of securities within the meaning of [the Securities Act or the Exchange Act]."