The CFTC Division of Swap Dealer and Intermediary Oversight granted relief to a commodity pool operator from the annual report filing requirement and the requirement that such reports contain audited annual financial statements.

The SEC Division of Corporation Finance granted an exemption to an investment company from certain tender offer requirements.

FINRA issued three regulatory notices and requested comments on (i) rules governing capital raising, (ii) proposed amendments for underwriting arrangements, and (iii) a proposed limited safe harbor from research rules for desk commentary.

CFTC Acting Chair Christopher Giancarlo appointed Charles Thornton III to be Director of the Office of Legislative Affairs.

The Chicago Mercantile Exchange Group announced that it intends to close its London-based derivatives exchange and clearing house by year-end 2017.