In three separate notices, NFA reminded (i) futures commission merchants, forex dealers, and introducing brokers, (ii) CPOs and CTAs, and (iii) swap dealers on reporting requirements, and common deficiencies in regulatory compliance.

A broker-dealer settled FINRA charges for failing to monitor sufficiently for improper trading.

An investment adviser settled SEC charges for imp roperly promoting hypothetically back-tested performance information.

On January 14, 2022, President Joseph R. Biden sent nominations to the Senate to fill vacancies on the Federal Reserve Board.