In its 2020 Annual Review, NFA highlighted several regulatory actions and provided statistics on investigations and enforcement.

The SEC issued a policy statement on EMIR-authorized CCPs seeking to register as, or be exempt from certain requirements applicable to, clearing agencies under SEC requirements.

The SEC Division of Corporation Finance identified risks associated with China-based issuers and highlighted related disclosure considerations.

CFTC Chair Heath P. Tarbert urged market participants to adhere to the 2020 IBOR Fallbacks Protocol.

The CFPB adopted amendments concerning the confidential treatment of information obtained or generated during the course of agency work.