The CFTC charged a financial services firm registered as a futures commission merchant with participating in unlawful wash trades and related supervisory failures.

The CFTC filed charges against an introducing broker and its majority owner and sole principal for supervisory and registration failures.

The SEC named Jane Norberg chief of its Whistleblower Office. Ms. Norberg formerly served as acting chief after the departure of inaugural chief Sean McKessy.

The SEC announced the agenda for its October 5, 2016 meeting of its Advisory Committee on Small and Emerging Companies.

The Office of the Comptroller of the Currency adopted final guidelines for recovery planning for large insured banks.