A firm settled FINRA charges for failing to journal approximately 6 million emails on its correspondence review platform.

In its 2020 Annual Review, NFA highlighted several regulatory actions and provided statistics on investigations and enforcement.

The SEC issued a policy statement on EMIR-authorized CCPs seeking to register as, or be exempt from certain requirements applicable to, clearing agencies under SEC requirements.

The SEC Division of Corporation Finance identified risks associated with China-based issuers and highlighted related disclosure considerations.

CFTC Chair Heath P. Tarbert urged market participants to adhere to the 2020 IBOR Fallbacks Protocol.