CFTC staff reminded designated contract markets and derivatives clearing organizations to maintain appropriate risk control mechanisms, including exchange-based pre-trade risk checks and immediate notifications to the Commission in the event of significant market disruptions.

A firm settled FINRA charges for Regulation Best Interest ("Reg BI") supervisory failures related to the sale of registered index-linked annuities ("RILAs").

Financial industry trade associations petitioned the SEC to issue a rulemaking rescinding elements of its Cybersecurity Risk Management, Strategy, Governance and Incident Disclosure Rule.

SEC Commissioner Caroline A. Crenshaw criticized the agency’s dismissal of three lawsuits involving alleged unregistered dealers in convertible bonds.

CFTC Commissioner Christy Goldsmith Romero called for the agency to adopt greater transparency in enforcement decisions and outlined a framework for evaluating self-reporting, cooperation and remediation in enforcement matters.