The SEC, the CFTC and the DOJ filed actions against a New York-based family office and certain of its principals for an alleged market manipulation scheme that resulted in billions of dollars in losses.

FINRA revised and redesignated its Interpretations of the SEA Financial and Operating Rules to align with recent SEC amendments.

A broker-dealer / swap dealer settled parallel SEC and CFTC charges for "widespread" recordkeeping failures related to communications on personal devices, personal email and Internet applications.

At the SIFMA annual meeting, SEC Chair Gary Gensler highlighted potential areas for reform across the Treasury, non-Treasury fixed income, equity and security-based swaps markets.