The North American Securities Administrators Association waived Investment Adviser Registration Depository system fees for investment adviser firms.

The CFTC approved a final order to exempt a regional transmission organization's contracts, agreements and transactions for the purchase or sale of specified electric energy-related products from most of the provisions of the CEA.

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 October 17 - October 21.

SEC Commissioner Michael S. Piwowar asserted that "high-quality economic analysis is an essential part of regulatory processes" for the Public Company Accounting Oversight Board."

The SEC Division of Corporation Finance granted no-action relief to a managed exchange-traded fund in connection with the creation and redemption of units.