The CFTC Division of Enforcement reported on key metrics from the past year, including the number of cases filed and the amount of relief provided.

The CFPB issued a no-action letter to Upstart Network, Inc., stating the agency would not take supervisory or enforcement action against the online lending platform in connection with an artificial intelligence-driven underwriting model.

NFA proposed a new interpretive notice that would require swap dealers and major swap participants to establish a supervisory program for the use of marketing materials.

FINRA proposed a rule change that would extend the expiration date for temporary amendments that (i) allow virtual hearings and (ii) provide relief to FINRA staff from certain enforcement and procedural requirements.

NFA reminded registrants that the annual affirmation requirement for entities claiming exemption from CPO or CTA registration is March 1, 2021.