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Five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment advisers settled charges with the SEC and CFTC for recordkeeping violations after failing to preserve electronic business-communications made using their personal devices.

In a wide ranging interview with Risk Desk Editor-in-Chief John Sodergreen, Acting CFTC Chair J. Christopher Giancarlo expressed his views "on market growth, killing bad policy and rules, staffing the agency, fintech, matters of market jurisdiction and his relationship with FERC."