An exchange-traded commodity pool trading oil futures and its general partner, a CPO, settled parallel SEC and CFTC charges for misleading disclosure statements.

SEC Commissioner Caroline Crenshaw emphasized both the opportunities and potential risks decentralized finance poses to investors.

A broker-dealer settled FINRA charges for failing to identify and supervise trading in customer accounts that was excessive and unsuitable.

Staff of the Inter-Agency Working Group on Market Surveillance proposed six guiding principles to reform Treasury market policy to increase market resiliency.

The SEC named Ahmed Abonamah as its new Director of the Office of Credit Ratings.