CFTC amendments intended to "comprehensively" update its bankruptcy regulations were published in the Federal Register.

NFA set an effective date of June 30, 2021 for a recently adopted compliance rule and related interpretive notice requiring a CPO to notify NFA upon an event that may affect the ability of its pool to fulfill its obligations to pool participants.

A firm settled FINRA charges for failing to reasonably supervise a representative's alternative investment recommendations for certain customers.

The SEC Division of Examinations observed compliance deficiencies related to environmental, social and governance products and services offered by investment advisers, registered investment companies and pooled investment vehicles.