Representative Jahana Hayes introduced a bill to amend the CEA to increase the protection of proprietary information submitted to the CFTC by CPOs and CTAs.

SEC Chief Accountant Sagar Teotia addressed domestic and international accounting and auditing developments in the capital markets.

A registered futures commission merchant settled CFTC charges for failing to provide sufficient audit trail data, which "substantially delayed" a CFTC Division of Enforcement investigation.

A former Chief Compliance Officer/General Securities Principal settled FINRA charges for failing to (i) update employee forms concerning reportable events in a timely manner and (ii) provide required annual FINRA reports.

NASAA identified recent enforcement trends in an annual summary of state enforcement actions. The summary includes the latest statistics on financial exploitation against vulnerable adults.