The technical standards for the EU rules on margin for non-cleared OTC derivatives moved one step further towards the effective date, with the publication by the European Commission of the final RTS on October 4, 2016.

The SEC extended the 45-day review period for a FINRA proposal requiring members to disclose markups on retail customer confirmations of certain transactions in fixed-income securities. The SEC notice of designation for an extended review period was published in the Federal Register.

The U.S. District Court for the Southern District of New York, Judge Analisa Torres, dismissed the CFTC's argument that it did not prove the intent to create an artificial price in order for it to establish a manipulation claim against an investment firm and the firm's CEO.

The SEC Division of Investment Management granted no-action relief to a publicly traded company from the requirement that it register its subsidiaries as investment companies.

The SEC notified investors that a new National Market System Plan to implement a Tick Size Pilot Program went into effect on October 3, 2016. The plan effectively widened the minimum quoting and trading increment, or "tick size," for certain small capitalization stocks.