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The CFTC amended its rules in order to update the methods by which firms' records must be kept (see previous coverage).

The FDIC-proposed rule that would allow certain insured depository institutions to be exempt from the requirement to treat reciprocal deposits as brokerage deposits ...

FDIC Seeks Comment on Brokered Deposits and Interest Rate Restrictions.

A FINRA proposal to delay, from March 25, 2020 to March 25, 2021, the implementation date of rule amendments on margin requirements for Covered Agency

The FINRA proposal to amend the rule on the collection and distribution of "new issues reference data" for corporate bonds and to charge-associated fees

The FINRA proposal making non-substantive changes to its Consolidated Audit Trail ("CAT") plan and Rule 409T ("Statements of Accounts to Customers") was published in the Federal Register.

The FRB adopted a final total loss-absorbing capacity ("TLAC") rule that requires U.S. top-tier bank holding companies, which are identified as global systemically important banking organizations.

The Federal Reserve Board ("FRB") proposal to raise the threshold for bank holding companies and savings and loan holding companies, subject to Regulation TT assessments, was published in the Federal Register.

The Federal Reserve Board ("FRB") rule proposal to amend the FRB's company-run stress test and supervisory stress test rules was published in the Federal Register (see here for previous coverage).

The Federal Reserve Board ("FRB") request for feedback on amending Regulation D ("Reserve Requirements of Depository Institutions") ...

The Federal Trade Commission ("FTC") increased the fees for telemarketing businesses seeking access to the National Do Not Call Registry ("Registry") ...

U.S. prudential regulators, including the Federal Reserve Board, Office of the Comptroller of the Currency, FDIC, Farm Credit Administration and the Federal Housing Finance Agency

The SEC adopted a final rule to permit mutual funds to use "swing pricing," which allows funds to redeem investors' holdings at prices that are lower than the going market value of the funds' assets...

The SEC final rule amending Regulation NMS Rules 600(b) and 606 to increase the transparency of broker-dealers' "handling and routing of orders in NMS stock" was published in the Federal Register (see previous coverage).

The SEC proposed a new rule requiring SEC-registered investment advisers to implement written business continuity and transition plans.

The SEC requested comments on a FINRA proposal that would implement an "anonymous, grouped masking methodology" in order to address confidentiality concerns...

The U.S. Treasury Department Office of the Assistant Secretary for Financial Markets amended certain government securities broker-dealer recordkeeping and reporting rules to conform to recently updated SEC rules for broker-dealers.

U.S. Treasury Department ("Treasury") final rules on reporting certain information in the U.S. repurchase agreement market to the Office of Financial Research ("OFR") ...