A chief compliance officer of an investment firm settled CFTC charges for fraudulently soliciting investments in commodity pools and misappropriating investor funds.

An SEC proposal to facilitate the implementation of the Consolidated Audit Trail was published in the Federal Register.

NFA updated its FAQs to address recently amended swaps proficiency requirements.

The House approved a bill designed to make bank service company examinations more efficient by improving coordination among regulators.

The Senate Banking Committee considered testimony on the "serious concern" caused by an International Association of Insurance Supervisors' consultative document on global insurance regulations and supervisory forums.