The CFTC fined a trading company and one of its employees a total of $280,000 for executing numerous non-bona fide exchange-for-physicals transactions.

FINRA reminded member firms of the expanded application of its supplemental schedule for derivatives and other off-balance sheet items.

A new FDIC publication on corporate governance focuses on key concepts, the roles and responsibilities of directors and senior management, and how FDIC examiners evaluate governance at community banks.

The CFTC Division of Swap Dealer and Intermediary Oversight provided relief to two CPOs from annual reporting requirements.

The SEC granted exemptive relief to exchange-traded funds from the notice requirements of SEA Rule 10b-17 and the prohibitions of Rules 101 and 102 of Regulation M. The granting of the exemptive relief was published in the Federal Register.