The SEC named Sarah ten Siethoff as the new Deputy Director of the Division of Investment Management.

A bank settled CFPB charges of violating the unfair acts and practices provisions of the Consumer Financial Protection Act.

An IT company and its former CFO settled SEC charges for failing to disclose (i) accrued liability related to a dissenting shareholder appraisal action, and (ii) two related party transactions.

A broker-dealer settled NYSE American charges for failing to maintain accurate records for options orders.

A futures commission merchant settled CFTC charges for failing to (i) implement an adequate AML program, (ii) impose risk-based trading position limits on a customer's accounts and (iii) maintain customer records for a substantial period of time.