The CFTC approved a final order to exempt a Regional Transmission Organization's contracts, agreements and transactions for the purchase or sale of specified limited electric energy-related products from most provisions of the CEA, with the exception of those that prohibit fraud and manipulation.

In its latest Research Note, ISDA examined key trends in clearing for small derivatives users by analyzing publicly available data on clearing, and by surveying small derivatives users in the United States and the European Union.

A wealth management firm agreed to pay $2.8 million to settle FINRA charges that it violated trade reporting, Order Audit Trail System reporting, books and records, and related supervisory requirements.

An accounting firm agreed to pay more than $11.8 million to settle SEC charges relating to the failed audits of an oil services company that allegedly used deceptive income tax accounting to inflate earnings.

The Office of the Comptroller of the Currency published a "collection of essays that providing unique perspective on the history of the [OCC], the federal banking system, and bank supervision."