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."
The SEC sued an investment advisory firm and its principal for operating a multi-year cherry-picking scheme.
NFA reminded firms that the CFTC requires any CPO that claims an exemption from registration to file a notice of exemption by March 1, 2022.
ISDA recommended that regulators adopt the Common Risk Interchange Format and Common Domain Model to allow for the standardization and automation of financial reporting.