In a farewell address, CFTC Chair Rostin Behnam highlighted agency accomplishments that "benchmarked" his tenure.

A broker-dealer/investment adviser settled charges brought by 14 state securities regulators for overcharging investors on mutual funds. The regulators alleged that the investors paid sales charges on mutual funds that were then shifted into fee-based advisory accounts.

A firm settled FINRA charges for failing to adequately review securities transactions in associated persons' outside brokerage accounts.

A firm settled FINRA charges for failing to maintain the minimum required net capital and related supervisory violations.

A clearing broker settled Nasdaq Stock Market LLC charges for failing to monitor for manipulative trading practices.