The Cabinet Regulatory Tracker provides a list of significant effective dates and comment deadlines.

The SEC's Office of Compliance Inspections and Examinations ("OCIE") identified key areas of risk in its Examination Priorities for 2016. These include protecting retail investors, assessing market-wide risks and using data analytics to find illegal activity.

New SRO rules, rule proposals and NMS plans were announced by the SEC. Click on the links below to view the SEC's notices of exchange rule changes and proposals from January 4 to January 8. Clearance & Settlement: DTC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Postponing the Date for Retirement of Computer to Computer Facility Corporate Action Announcement Files, and Implementing a Fee Associated with Its Use(Release No. 34-76811; File No. SR-DTC-2015-013; December 31, 2015); see also Exhibit 5 OCC: Notice of No Objection to Advance Notice Filing, as Modified by

The SEC agreed to settle charges against hedge fund manager Steven A. Cohen for failing to reasonably supervise a former portfolio manager who engaged in insider trading. The portfolio manager was employed at CR Intrinsic Investors, an investment advisory firm that was a wholly-owned subsidiary of S.A.C. Capital Advisors LLC, an entity founded and controlled by Cohen.

The SEC issued no action relief to a fund seeking to file a post-effective amendment to its registration statement pursuant to Rule 486(b).