IOSCO published a staff working paper titled "Corporate Bond Markets: An Emerging Markets Perspective" that is intended to provide a base against which to study corporate bond markets (as opposed to bank lending markets) in the emerging markets.

The SEC settled charges that a broker-dealer submitted deficient information to the agency about trades carried out by its customers (commonly referred to as "blue sheet data") in violation of Securities Exchange Act Rules 17a-4(j) ("Records to Be Preserved by Certain Exchange Members, Brokers and Dealers") and 17a-25 ("Electronic Submission of Securities Transaction Information by Exchange Members, Brokers and Dealers"). The charged company admitted to the SEC's findings that from January 2012 to January 2014, it had made errors in its filings. The company identified certain technological and

The CFTC Division of Market Oversight ("DMO") provided additional time-limited no-action relief to Futures Industry Association ("FIA") members that are required to submit reports under Parts 17 ("Reports by Reporting Markets, Futures Commission Merchants, Clearing Members and Foreign Brokers"), 18 ("Reports by Traders") and 20("Large Trader Reporting for Physical Commodity Swaps") of CFTC regulations. The no-action relief concerns certain reporting obligations required by the "Ownership and Control" Final Rule. DMO issued this no-action relief to provide reporting parties additional time to

The North American Securities Administrators Association (NASAA) issued the findings of a 2015 sample examination that uncovered deficiencies in various compliance areas.The data uncovered deficiencies in books and records practices. Other problematic areas for state-registered investment advisers were contracts, registration, fees and custody. The Report also provided guidance to assist investment advisers in developing sound compliance practices and procedures. Among the recommended Best Practices to eliminate these deficiencies are: review and revise Form ADV and disclosure brochure

A working group convened by the National American Securities Administrators Association ("NASAA") developed a model fee disclosure schedule to help investors better understand and compare various broker-dealer services, maintenance-related fees and guidelines to make fee disclosure accessible and transparent. The NASAA "Fee Working Group" consisted of state securities regulators and representatives of FINRA, SIFMA, the Financial Services Institute ("FSI"), and a number of sell-side financial institutions. The Fee Working Group recommended the following investor access guidelines to enhance