The CFTC adopted a final rule amending external business conduct and documentation requirements for swap dealers and major swap participants. The amendments codify long-standing no-action positions and enhance market efficiency.

CFTC staff requested comment on potential issues concerning derivatives clearing organizations that provide clearing services directly to retail traders without intermediation by futures commission merchants.

Major asset management firms filed applications for exemptions from various provisions of federal securities laws that currently restrict their ability to combine exchange-traded fund share classes and mutual fund shares within a single investment vehicle.

A broker-dealer settled NYSE charges for failing to detect manipulative and insider trading due to significant data gaps in its surveillance reports.

The CFTC’s Market Participants Division granted no-action relief that effectively reinstates the "QEP Exemption" for certain private fund managers.