CFTC Commissioner Summer K. Mersinger weighed in on offering retail access to clearing outside of traditional futures commission merchant models and raised concerns over "mission creep... in the name of addressing climate change."

FinCEN notified U.S. financial institutions that the Financial Action Task Force updated its list of jurisdictions with strategic deficiencies in their AML/CFT regimes.

A broker-dealer settled FINRA charges for failing to conduct reasonable due diligence in connection with a private-placement offering and for failing to maintain the minimum net capital required to operate as a securities business.

CFTC Commissioner Caroline D. Pham announced that she is relaunching the Global Markets Advisory Committee to focus on "firms’ global business strategy and operations and the markets that are needed to support growth and effective risk management."