A registered futures commission merchant settled CFTC charges for failing to provide sufficient audit trail data, which "substantially delayed" a CFTC Division of Enforcement investigation.

A former Chief Compliance Officer/General Securities Principal settled FINRA charges for failing to (i) update employee forms concerning reportable events in a timely manner and (ii) provide required annual FINRA reports.

NASAA identified recent enforcement trends in an annual summary of state enforcement actions. The summary includes the latest statistics on financial exploitation against vulnerable adults.

The CFTC Division of Swap Dealer and Intermediary Oversight granted conditional no-action relief to a CPO from registration requirements.

President Donald J. Trump signed an Executive Order to strengthen and expand sanctions authorities that combat international terrorism.