FINRA collated SEC staff bulletins and FINRA resources to improve member compliance with Regulation Best Interest.
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In a 2022-2026 Strategic Plan, CFTC Chair Rostin Behnam highlighted "emerging trends transforming global derivatives markets" including "digital asset commodities, decentralized finance, and Environmental, Social, and Governance Investing."
FINRA proposed extending temporary Covid-related relief from procedural requirements in FINRA rules, and to conduct certain hearings by videoconference.
The SEC sued an investment advisory firm and its principal for operating a multi-year cherry-picking scheme.
NFA extended relief through the end of 2022 from the requirement to conduct on-site annual inspections of branch offices and guaranteed introducing brokers.