The CFTC Division of Market Oversight issued an extension of relief to certain CFTC-registered swap dealers and major swap participants that are established in Australia, Canada, the European Union, Japan and Switzerland and that are not part of an affiliated group in which the ultimate parent entity is U.S.-based.

The SEC adopted rules to update and modernize the intrastate and regional offering framework.

The SEC will update its response to the rulemaking mandate of the FAST Act and discuss investor protection priorities for 2017 at an upcoming Investor Advisory Committee meeting.

The CFTC approved rule amendments regarding financial reports required from commodity pool operators concerning pool operations.

New SRO rules, rule proposals and NMS plans were announced by the SEC. Click on the links below to view SEC notices of exchange rule changes and proposals for the week of November 14 – November 18.