The CFTC adopted amendments that revise compliance requirements for Commodity Pool Operators and Commodity Trading Advisors operating under certain regulatory exemptions.

FINRA notified firms that it added a new question to its U4 registration form to identify "residential supervisory locations."

A firm settled FINRA charges for failing to establish and enforce supervisory systems designed to prevent unsuitable short-term trading of Class A mutual funds.

The SEC revised the Electronic Data Gathering, Analysis and Retrieval Filer Manual to ensure electronic submissions conform to SEC adopted rules on initial public offerings by special purpose acquisition companies and to add to the taxonomy used for cybersecurity disclosures.

A members-only club settled SEC charges for conducting an unregistered public offering of crypto asset securities in the form of non-fungible tokens.