The FTC will expand its Criminal Referral Program as part of a continued effort to combat corporate crimes, including consumer protection misconduct and antitrust violations.

An investment adviser settled SEC charges for policy and procedure failures, prohibited adviser transactions and the misuse of material non-public information (“MNPI”).

The SEC named Haoxiang Zhu Director of Division of Trading and Markets, effective December 10, 2021. David Saltiel, who has been leading the Division as Acting Director, will serve as a Deputy Director and head the Office of Analytics and Research.

The SEC published in the Federal Register a proposal that would (i) amend existing rules to change the filing of various applications, confidential treatment requests and forms from paper to electronic, and (ii) require structured data reporting from regulated entities.

In its Annual Report to Congress, the SEC Office of the Whistleblower reported that it had another recording-breaking year for both the number of tips received and whistleblower awards paid.