SEC Commissioner Elad L. Roisman notified President Joseph R. Biden that he will resign from the Commission by the end of January 2022.

The U.S. District Court for the Eastern District of Washington approved a Consent Order in a CFTC action against a cattle supplier who allegedly made false representations to the Chicago Mercantile Exchange "concerning its cattle inventory, purchases, and sales" and violated exchange-set position limits.

FinCEN extended the date for certain Report of Foreign Bank and Financial Accounts ("FBAR") filings until April 15, 2023. The extension applies to certain U.S. persons with authority over foreign financial accounts.

A broker-dealer / swap dealer settled parallel SEC and CFTC charges for "widespread" recordkeeping failures related to communications on personal devices, personal email and Internet applications.