A consultant, who provided commodity futures hedging advice to clients related to their crop production, settled CFTC charges for failing to register as a Commodity Trading Advisor.
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A custody bank and asset servicing company settled CFTC charges for failing to correctly report swap transactions.
The Chicago Mercantile Exchange fined and suspended an individual for engaging in wash trades and for using another individual's unique Operator ID to enter orders on the CME Globex trading platform.
An investment adviser settled SEC charges in connection with deficiencies in the firm's handling of material nonpublic information while trading collateralized loan obligations.
In a report on "cash back" costs and practices, the CFPB warned that "fees for cash back may serve as a barrier and reduce people's access to cash when they need it," particularly as to consumers in areas with limited access to ATMs and banking services in low-income and rural areas.