In comments on a proposed update to IOSCO's 2011 "Principles for the Regulation and Supervision of the Commodity Derivatives Markets," FIA asserted that IOSCO should clarify that the principles only "apply to exchange traded derivatives on a physical commodity or a non-financial deliverable with a finite supply."

A broker-dealer settled charges for failure to establish reasonable risk management protocols and supervisory efforts regarding Exchange Traded Product order flow.

A broker-dealer settled parallel NYSE Arca, Inc. and Nasdaq Stock Market charges for violating the market access rule while electronically routing shares to the two exchanges.

On January 18, 2022, the OCC conditionally approved Social Finance, Inc. applications to charter a full-service national bank.