Major asset management firms filed applications for exemptions from various provisions of federal securities laws that currently restrict their ability to combine exchange-traded fund share classes and mutual fund shares within a single investment vehicle.

A broker-dealer settled NYSE charges for failing to detect manipulative and insider trading due to significant data gaps in its surveillance reports.

The CFTC’s Market Participants Division granted no-action relief that effectively reinstates the "QEP Exemption" for certain private fund managers.

The Senate confirmed Michael Selig as Chair of the U.S. Commodity Futures Trading Commission by a vote of 53-43.

The SEC approved amendments to the Fixed Income Clearing Corporation Government Securities Division Rulebook. The amendments facilitate the porting of indirect participant activity from one intermediary Netting Member to another.