The SEC announced that SEC Chief of Staff Andrew J. Donohue, Deputy Chief of Staff Nathaniel Stankard and General Counsel Anne K. Small are leaving the commission.

FINRA named Gregory J. Dean, Jr. Senior Vice President for the Office of Government Affairs. Mr. Dean will begin on January 30, 2017.

Citigroup Global Markets, Inc., a registered futures commission merchant and provisionally registered swap dealer, agreed to pay a $25 million civil monetary penalty to settle CFTC charges of spoofing and related supervisory failures.

Automobile manufacturer General Motors agreed to pay a $1 million penalty to settle SEC charges of deficient internal accounting controls.

The CFTC requested comments on a proposal to modernize certain recordkeeping obligations.