The CFTC granted exemptive relief to various commodity pool operators from having to (i) file and distribute annual reports, (ii) have an independent public accountant audit the financial statements in such reports and (iii) prepare a Form CPO-PQR report and file it with the NFA.

FINRA proposed a delay in the implementation of its rules concerning debt research analysts and debt research reports.

The SEC Office of Compliance Inspections and Examinations reviewed its priorities for 2016 at a compliance outreach program for investment advisers and investment company senior officers.

A subcommittee of the House Financial Services Committee will examine the mission, operation and activities of the SEC Division of Economic and Risk Analysis, the Office of Credit Ratings, the Office of the Whistleblower, and the Office of Compliance, Inspections and Examinations.

The NFA will provide information on the review process for margin models submitted by CFTC-regulated swap dealers.