In remarks at an industry conference, CFTC Chair Rostin Behnam highlighted CFTC challenges in 2022 and upcoming initiatives.

A pricing service provider settled SEC charges for failing to disclose to customers that its independent pricing service could, at times, reach a valuation that would be largely driven by a single data input.

The New York State Department of Financial Services issued guidance on sound custody and disclosure practices for crypto assets in order to protect customers in the event of a bank insolvency.

A broker-dealer settled FINRA charges for supervision failures related to unsuitable recommendations involving variable interest rate structured products.

A broker-dealer settled FINRA charges for failing to report the time of execution in the finest increment of time captured by its system when reporting transactions in Treasury securities to TRACE.