The NFA reminded members of the annual affirmation obligations for certain exempt or excluded commodity pool operators / commodity trading advisors.

The NFA amended an Interpretive Notice on Information Systems Security Programs to address cybersecurity training, ISSP approval and breach notification.

President Trump signed into law the Rural Business Investment Company Advisers Relief Act of 2018. The new law exempts certain investment advisers and others from SEC registration requirements.

FINRA notified firms that their Final Statements are now available for review in the E-Bill system.

The SEC Office of the Investor Advocate identified "problematic products and practices" and summarized steps the agency and related self-regulatory organizations took to respond to investor concerns during the past year.

A CPO and its principal agreed to settle CFTC charges for fraudulent misallocation of trades and recordkeeping failures.

SEC staff requested feedback on the impact of recent EU rules on research and three related SEC no-action letters.

The SEC Office of Compliance Inspections and Examinations highlighted exam priorities for 2019. The priorities focus on areas that represent increased risks to retail investors and the integrity of the U.S. capital markets.

In a 2018 Annual Report, the Financial Stability Oversight Council recommended that financial regulatory agencies take additional steps to ensure U.S. financial stability.

Two robo-advisers agreed to settle SEC charges for making false statements and publishing misleading advertising regarding certain investment products.