The CFTC ordered a CFTC-registered retail foreign exchange dealer to pay a $1 million civil monetary penalty for violating capital requirements.

The OCC proposed the removal of unnecessary provisions of certain rules in order to reduce the regulatory burden on national banks and federal savings associations.

The SEC settled charges with three fee based advisories for allegedly steering mutual fund clients toward more expensive share classes in order to collect larger fees.

The North American Securities Administrators Association will examine the role of enforcement in public policy at the 2016 NASAA Public Policy Conference.

CFTC Commissioner J. Christopher Giancarlo addressed the issue of the steep drop in commodity prices and the regulatory burdens affecting market participants.