The SEC made a correction to Form ATS-N, a form relating to disclosure requirements for alternative trading systems that trade in National Market System stocks ("ATSs").

The Comptroller of the Currency, the Federal Reserve Board and the FDIC extended the comment period on a proposal allowing "advanced-approaches" banking organizations.

The CFTC awarded two whistleblowers approximately $2 million for information that led to a CFTC investigation

CFTC Chair J. Christopher Giancarlo appointed Matthew B. Kulkin to be Director of the Division of Swap Dealer and Intermediary Oversight.

CFTC Chair J. Christopher Giancarlo reported that the agency has returned to normal operations.

The CFTC requested nominations for membership on the Agricultural Advisory Committee, and also invited the submission of topics for discussion at future meetings.

On March 29, 2019, the CTFC provided relief intended to encourage prime brokers to trade swaps on swap execution facilities by excusing certain pre-trade disclosures.

The CFTC rule change regarding the standards for an SRO's financial surveillance examination program for futures commission merchants ("FCMs") was published in the Federal Register.

A CFTC proposal amending uncleared swap margin regulations to exempt certain transactions from the European Stability Mechanism was published in the Federal Register.

The CFTC requested comment on the utility of "post-trade name give-up" practices where swaps are anonymously executed and intended to be cleared ...

FINRA provided the filing dates for broker-dealer annual audit, FOCUS, and custody reports for 2019 and the first quarter of 2020.

FINRA provided guidance on whether dates that securities markets unexpectedly close for business should be considered as either a regular business day ...

In the October edition of the Fleet and Mobility newsletter, we spotlight non-traditional rental options - types of rental business models, the associated benefits and risks...

The NFA Business Conduct Committee charged a registered independent introducing broker with failing to (i) maintain the required minimum adjusted net capital, (ii) file telegraphic notice...

ISDA updated its global calendar of compliance deadlines and regulatory dates for OTC derivatives.

The Managed Funds Association ("MFA") hired Mark Epley to serve as executive vice president and general counsel.

Spotify and Slack made a splash when they went public via direct listings rather than underwritten offerings or traditional IPOs

The National Futures Association ("NFA") Business Conduct Committee charged a commodity trading advisor with providing materially false and misleading disclosure documents to customers...

NFA permanently banned from membership a CPO and CTA for failing to produce books and records for two of the CPO/CTA's principals and its majority owner

The SEC Division of Corporation Finance designated a New Zealand stock exchange as a "designated offshore securities market" under Securities Act Regulation S, Rule 902(b).