The CFTC Division of Market Oversight extended its time-limited no-action relief from the CEA's trade execution requirement for certain swaps executed as part of package transactions.

The SEC Office of Investor Education and Advocacy cautioned investors about "potential investment schemes in which fraudsters send fake Forms 4 to investors who paid for the purported purchase of shares."

FINRA notified member firms that the 2017 Renewal Program will begin on November 14, 2016. FINRA will make online Preliminary Statements available to all firms in the E-Bill format.

The SEC initiated proceedings against an "engagement" partner at an accounting firm, alleging that he failed to scrutinize millions of dollars taken from a venture capital fund in related party transactions under the guise of "advanced" management fees.

A New York audit firm agreed to settle charges that it had issued fraudulent audit reports in connection with municipal bond offerings.