The CFTC Market Participants Division granted relief to extend the timeframe for a limited-purpose swap dealer to file certain financial reports.

A dually-registered broker-dealer and investment adviser settled SEC charges for providing unsuitable recommendation on complex variable interest rate structured products to investors nearing retirement age.

A broker-dealer settled FINRA charges for publishing inaccurate data in required monthly reports on order execution quality.

CFTC Chair Rostin Behnam outlined the CFTC's 2023-2024 rulemaking agenda, which focuses on (i) enhancing risk management and investor protections, (ii) facilitating responsible innovation, (iii) the role of climate-related factors on commodity markets and (iv) expanding oversight over crypto markets.

The SEC Division of Investment Management issued guidance on the use of fee waiver and expense reimbursement arrangements that result in differing advisory fees for different share classes of the same fund.