The CFTC simultaneously filed and settled charged against a Futures Commission Merchant for supervisory and risk management failures.

The CFTC filed a civil injunctive enforcement action against employees of a firm for engaging in illegal, off-exchange transactions in precious metals with retail customers on a leveraged, margined or financed basis.

The SEC issued an exemptive order to an exchange traded fund, providing relief with respect to the following rules: (i) Securities Exchange Act Rule 10b-17; and (ii) Rules 101 and 102 of Regulation M, in connection with secondary market transactions in its shares and the creation or redemption of aggregations of 50,000 shares.

The SEC solicited comments on a FINRA proposal to incorporate NASD Interpretive Material 2210-2 as FINRA Rule 2211 ("Communications with the Public about Variable Life Insurance and Variable Annuities") in the consolidated FINRA rulebook. The request for comments was published in the Federal Register.

The CFTC renewed the Agricultural Advisory Committee. The notice of renewal was published in the Federal Register.