CFTC staff issues SEF Registration Advisory. CFTC charges communications company with acting as unregistered SEF. FCA consults on synthetic LIBOR, use of LIBOR post-2022. SEC Chair highlights asset management regulatory developments. FINRA board approves continuing education fee proposal. Swap dealer settles CFTC charges for counterparty disclosure violations. SEC charges compliance analyst with insider trading.

OFAC issues Iran-related FAQ.

SEC proposes expansion of proxy voting disclosure reporting requirements. FTC institutes reforms in M&A investigatory processes. SEC requests comments on PCAOB's proposed framework to implement the "Holding Foreign Companies Accountable Act." FIA outlines principles for cross-border regulation. Digital asset exchange settles CFTC charges for illegal off-exchange trading. Broker-dealer settles SEC charges for short sales violations. Swap dealer settles CFTC portfolio reconciliation, daily mark and reporting charges. FCM settles CFTC charges for supervisory lapses affecting customer accounts spurred by negative futures price event. Firm settles NYSE charges for failing to give notice of withdrawal as market maker. SEC institutes proceedings on FINRA proposed change to rule on financial exploitation of specified adults. Effective date set for FINRA rule imposing additional obligations on firms with a history of misconduct. NCUA extends comment period on use of digital assets by federally insured credit unions.

CFTC Commissioner Dan Berkovitz to join SEC as General Counsel. SEC Advisory Committee focuses on digital engagement practices. Two subsidiaries of Dutch Oilfield Services company settle separate OFAC charges. SEC charges two individuals with wash trading in "meme stocks." FINRA, NASAA and OIEA launch investor initiative to promote the designation of "trusted contacts." Treasury Secretary and FRB Chair testify on pandemic relief efforts. SEC awards whistleblower approximately $36 million. SEC names Division of Corporation Finance Deputy Director.

SEC Commissioners consider implications of different paths for going public. Two entities settle SEC charges for sales of unregistered oil and gas securities. FINRA proposes fee for new municipal advisor principal exam. Swap dealers settle CFTC charges for LEI-related reporting violations. Office of Advocate for Small Business reports on capital-raising policy recommendations. SIFMA urges BCBS to develop "clear" cryptoasset framework.

Senators seek information on SPAC conflicts. SEC grants time relief on the application of the "Quote Rule" to debt securities. ISDA addresses FRB and FCA concerns on credit sensitive rates fallbacks. NASAA President identifies priorities for the year ahead. President Biden nominates Saule Omarova to be Comptroller of the Currency. SEC Chair Gensler puts China on notice. Coinbase cancels launch of crypto lending program. OFAC authorizes humanitarian assistance to Afghanistan.

SEC issues sample letter on climate change disclosures. House Subcommittee considers pandemic-related FRB emergency lending programs. SEC denies exchanges' application for stay of market data plan. SEC grants exemptive relief to three ETFs from tender offer rules. CFPB charges software provider with assisting in unlawful fee collection. MFA seeks clarification as to SECR due diligence obligations. FinCEN seeks comment on regulations to implement BSA provisions on antiquities trading. SEC charges quantitative analyst with $8.5M front-running scheme. SEC charges company executives with conducting a fraudulent securitization scheme. NASAA President announces Board of Directors, sets priorities. Effective date set for NFA amendments to compliance rule on swap dealer trade execution.

Acting OCC Comptroller identifies financial crisis lessons for the crypto industry. OFAC updates ransomware advisory. NASAA examinations report highlights senior investor protection policy deficiencies. Broker-dealer settles NYSE charges for order routing violations. NASAA approves diversity, equity and inclusion statement. Effective date set for NFA late fee amendment and interpretive notice on certain IM model-related filings.

House Financial Services taskforce considers risks from developments in consumer data sharing. In first case involving Regulation Crowdfunding, SEC charges funding portal and issuer for involvement in fraudulent distribution. SEC warns investors of risks of investments in companies operating in China. Global trade associations caution BCBS against "overly conservative" cryptoasset regulation. Comment deadline set on FINRA proposed extension for remote inspections. Updated Swaps Chapter in Commodities Regulation Guide.

FINRA proposes amendments to rules on customer statements. President Biden declares national emergency to address threat posed by the humanitarian crisis in Ethiopia. CFTC EEMAC recommends formation of subcommittee on carbon markets. SEC charges former IT manager with insider trading. SEC, MSRB and FINRA to offer compliance outreach program. MSRB outlines strategic plan for next four years. Effective date set for NFA amendments to reporting requirements for swap dealers using capital models. Cadwalader Clients & Friends Memo: FTC Rescinds Vertical Merger Guidelines.

Massachusetts brings enforcement actions against "Roaring Kitty's" employer. FINRA adopts amendments to filing requirements for quotations of non-exchange-listed securities. FINRA to review firms' use of social media channels to acquire customers. DTCC DLT initiative to shorten the settlement cycle moves forward. FINRA urges members to prepare for OTCBB cessation. SEC grants exemption to ETF from tender offer rules. Firm settles SEC charges for prioritizing "flippers" in municipal offerings. Broker-Dealer settles FINRA charges for failing to repair rejected OATS submissions.