The SEC Division of Investment Management granted no-action relief to a closed-end management investment company that will allow it to file post-effective amendments to its registration statement.
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The SEC appointed William A. Duhnke III as Chair of the Public Company Accounting Oversight Board. In addition, the SEC appointed four new members to the Board.
The CFTC issued a proposed exemptive order to permit certain derivatives clearing organizations to invest futures and swap customer funds in French and German sovereign debt.
SEC Chair Jay Clayton asserted that initial coin offerings are likely to involve the sale of assets that qualify as securities, and urged investors to proceed with caution when considering ICO or cryptocurrency-related investments.
The CFTC Division of Swap Dealer and Intermediary Oversight published interpretative guidance to clarify commodity trading advisor registration requirements in light of the MiFID II research compensation provisions.