The SEC settled fraud charges against a former head trader of residential mortgage-backed securities.

The SEC settled charges with a health insurance provider for illegally using severance agreements to require outgoing employees to waive their ability to obtain monetary awards from the SEC whistleblower program.

The CFTC settled charges against a hedge fund manager for supervisory failures. The hedge fund manager consented to restrictions on his registration as an "associated person" of the firm and a bar against him from future registration with the CFTC in any capacity for sixteen months.

The NFA updated its Self-Examination Questionnaire. The questionnaire is designed to help NFA member firms satisfy their annual supervisory responsibilities.

The CFTC issued a final response to a U.S. District Court Order remanding eight swaps-related rulemakings for inadequacies in the agency's consideration of costs and benefits. The final response was published in the Federal Register.