The CFTC final rule amendments incorporating staff guidance on CPO and CTA registration and reporting requirements were published in the Federal Register.

OFAC authorized certain activities generally prohibited by the Global Magnitsky Sanctions Regulations in order to "wind down" certain transactions.

The SEC proposal to amend the advertising and solicitation rules under the Investment Advisers Act of 1940 was published in the Federal Register

A firm settled FINRA charges for failure to comply with short interest reporting requirements and related supervisory failures concerning certain foreign-listed securities.