FINRA reported that it spent $90.2 million for "fines-eligible" expenditures in 2020, including capital initiatives and strategic expenditures, and activities to educate investors and promote firm compliance.

In a speech before the National Association of Insurance Commissioners, Federal Reserve Board Vice Chair of Supervision Randal Quarles reported that the FRB will publish soon a capital rule for insurance depository institution holding companies.

A firm settled NYSE Arca charges for failing to maintain sufficient erroneous order controls and related written supervisory procedures.

The CFTC's Market Participants Division updated its 2015 FAQs on additional reporting by commodity pool operators and commodity trading advisors to reflect the October 2020 adoption of amendments to both the rule and the form.

An OCC final rule that codifies an exception to the withdrawal period for banks that administer a collective investment fund primarily invested in real estate or other non-readily marketable assets was published in the Federal Register.