In her farewell address, Commissioner Johnson weighed-in on emerging regulatory issues and highlighted how past crises demonstrate the costs of weak governance, inadequate compliance, and poor risk management.

According to a recent Investment Company Institute survey, most fund investors favor making e-delivery the default method for financial documents.

A firm settled FINRA charges for supervisory failures related to the creation and dissemination of consolidated account reports, which contained inaccurate information and omitted material disclosures.

SIFMA capital markets and operations directors called for extending investor protections to tokenized securities markets.

The CFTC’s Divisions of Market Oversight and Clearing and Risk ("Divisions") issued a no-action letter granting a designated contract market ("DCM") and its affiliated derivatives clearing organization ("DCO") relief from certain swap data reporting and recordkeeping requirements for fully collateralized binary option and variable payout contracts cleared under their rules.