FinCEN notified U.S. financial institutions that the Financial Action Task Force updated its list of jurisdictions with strategic deficiencies in their AML/CFT regimes.
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A broker-dealer settled FINRA charges for failing to conduct reasonable due diligence in connection with a private-placement offering and for failing to maintain the minimum net capital required to operate as a securities business.
Treasury issued a Request for Information as to whether it should require additional post-trade transparency of data regarding secondary market transactions of Treasury securities.
CFTC Commissioner Caroline D. Pham announced that she is relaunching the Global Markets Advisory Committee to focus on "firms’ global business strategy and operations and the markets that are needed to support growth and effective risk management."
SIFMA urged the SEC to reevaluate the proposed fee split set out in the CAT Executed Share Funding Model.