Two broker-dealers settled FINRA charges for failing to timely disclose outside business activities and changes in business addresses.

A broker-dealer settled FINRA charges for Regulation Best Interest duty of care violations and additional supervisory deficiencies which failed to prevent excessive trading in five customer accounts.

A futures commission merchant settled CFTC charges for failing to properly supervise employees in handling accounts that were subject to a statutory restraining order.

The CFTC issued final guidance on the listing of voluntary carbon credit derivative contracts.

An introducing broker settled CFTC charges for off-channel recordkeeping failures.