The Investor Advisory Committee reviewed draft recommendations on (i) single-stock exchange-traded funds, (ii) proposed amendments to certain reporting requirements and (iii) third-party oversight of investment advisers.

At a recent oversight hearing, Congressman Bill Huizenga (R-MI), Chair of the House Financial Services Subcommittee on Oversight and Investigations, criticized the SEC's "unprecedented" volume of rulemakings and its "slow and limited" response in providing related information to Congress.

In an enforcement alert, the CFTC identified potential CEA violations connected to fraud or manipulation in the carbon markets.

An investment adviser settled SEC charges for imposing excess management fees and failing to disclose conflicts of interest.

The SEC charged a firm and its sole officer for failing to register as a dealer in connection with its "convertible notes business."