Texas-based commodity pool operators agreed to settle CFTC charges alleging violations of numerous commodity pool rules, including the failure to register as a CPO prior to operating two commodity interest pools.

The SEC requested comments on a FINRA proposal to adopt the compliance rules required to implement the Consolidated Audit Trail.

The SEC requested comments on an MSRB proposal that would implement rules regarding minimum denominations for an issue of municipal securities.

FINRA reported taking action on 35 of the 51 recommendations issued by the FINRA Dispute Resolution Task Force in December 2015.

Several public advocacy groups filed a complaint against President Donald J. Trump's "Executive Order on Reducing Regulation and Controlling Regulatory Costs."