The CFTC charged multiple entities for falsely claiming to be registered with the CFTC and NFA in connection with commodities offerings.

FinCEN Director Andrea Gacki reviewed the agency's efforts to implement beneficial ownership information reporting requirements under the Corporate Transparency Act.

An investment adviser settled charges with the SEC for violating whistleblower protection rules by restricting employees from communicating potential securities law violations to the SEC.

CFTC Chair Rostin Behnam described the agency's ongoing regulatory and enforcement efforts "to address the expanding dislocation between regulation and innovation."

Eric J. Pan, President and CEO of the Investment Company Institute expressed dismay with a rapid and seemingly disjointed approach to SEC rulemaking.