A private fund manager and chief investment officer settled SEC charges for compliance deficiencies that led to inaccurate valuations of client assets.

The SEC launched two initiatives to improve enforcement and investor education resources on behalf of teachers, active military personnel and veterans.

The SEC named Kevin Zerrusen to serve as Senior Adviser for Cybersecurity Policy.

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

CFTC Chair J. Christopher Giancarlo outlined ways in which the agency is attempting to address new technology and business models.