The CFTC Market Risk Advisory Committee addressed LIBOR reform initiatives and efforts to develop the Secured Overnight Financing Rate as a viable alternative rate.
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A commodity trading firm agreed to settle CFTC charges of attempting to manipulate the price of certain futures and options contracts.
The CFTC granted its largest-ever whistleblower award to an individual who voluntarily reported information that resulted in a successful enforcement action.
The SEC charged an individual with filing false information through the SEC public database in a scheme to manipulate the price of certain issuer securities.
The SEC Office of Compliance Inspections and Examinations identified common deficiencies related to investment advisers' compliance with "best execution" obligations.