A CPO/CTA settled CFTC charges of supervisory failures that allowed “disruptive, reckless, and disorderly” employee trading practices.

In a speech on the "needs of the real economy" and a focus on regulations "that work in practice," CFTC Commissioner Summer K. Mersinger encouraged regulators and legislators to allow derivatives clearing organizations to "consider policy changes that would permit DCOs registered with the CFTC (regardless of their location) to have deposit account access at the Federal Reserve."

In a new Risk Alert, the SEC Division of Examinations highlighted compliance deficiencies of newly registered investment advisers.

The Congressional Research Service reviewed the FDIC’s process for resolving failed FDIC-insured banks and identified related policy issues.

FinCEN provided guidance on the recently adopted beneficial ownership information reporting requirements that will become effective on January 1, 2024.