The CFTC approved proposed amendments to modernize annual recordkeeping obligations.

The SEC Office of Investor Education and Advocacy provided guidance on investing in American Depository Receipts.

The CFTC Division of Swap Dealer and Intermediary Oversight granted no-action relief to the trustee of several commodity pools from registering as a Commodity Pool Operator subject to certain conditions.

The SEC Office of Compliance Inspections and Examinations will focus on (i) retail investors, (ii) senior investors and (iii) market-wide risks.

The NFA issued a notice stating that members who take "reasonable steps" to determine the registration and membership status of previously exempt persons will not be in violation of NFA requirements.