The Financial Crimes Enforcement Network named Thomas Ott, Associate Director of the Enforcement Division.

The Futures Industry Association Principal Traders Group criticized the CFTC for failing to address whether certain swaps should be excluded from an entity's de minimis calculation.

The SEC settled fraud charges against a former head trader of residential mortgage-backed securities.

The SEC settled charges with a health insurance provider for illegally using severance agreements to require outgoing employees to waive their ability to obtain monetary awards from the SEC whistleblower program.

The CFTC settled charges against a hedge fund manager for supervisory failures. The hedge fund manager consented to restrictions on his registration as an "associated person" of the firm and a bar against him from future registration with the CFTC in any capacity for sixteen months.