The CFPB highlighted findings from supervisory examinations completed between January 2022 and June 2022.

A broker-dealer settled FINRA charges for overstating its daily trading volume in advertisements provided by a third-party market data provider.

A broker-dealer settled FINRA charges for inaccurately reporting information pertaining to the routing of non-directed orders in national market system securities.

An investment adviser settled SEC charges for engaging in numerous principal trades without first making the necessary disclosures and obtaining the client's consent.

CFTC Chair Rostin Behnam considered trends in the U.S. Treasury market amidst levels of extreme volatility coupled with record trading volume on global platforms.