Michael J. Osnato Jr., SEC Enforcement Division, Complex Financial Instruments Unit Chief, will leave the SEC later this month.

Government contractor L3 Technologies Inc. agreed to pay a $1.6 million penalty to settle SEC charges alleging recordkeeping and internal accounting failures.

The CFTC approved proposed amendments to modernize annual recordkeeping obligations.

The SEC Office of Investor Education and Advocacy provided guidance on investing in American Depository Receipts.

The CFTC Division of Swap Dealer and Intermediary Oversight granted no-action relief to the trustee of several commodity pools from registering as a Commodity Pool Operator subject to certain conditions.