A broker-dealer settled FINRA charges for failing to report "millions" of reportable order events to the Order Audit Trail System.

A futures commission merchant settled CFTC charges for supervisory failures in connection with its traditional block trading futures brokerage businesses.

A former portfolio manager at an investment firm settled SEC charges for executing illegal trades based on nonpublic information.

OFAC updated the Venezuela Sanctions Regulations to incorporate relevant Executive Orders issued since the regulations were last updated in 2014.

CFTC Commissioner Dawn D. Stump recommended steps to "streamlin[e]" the collection of certain types of data under the agency's Data Protection Initiative.