.Subject to certain conditions, the SEC Division of Investment Management granted an insurance company limited authority to prepare audited financial statements, that are to be filed with Form S-1 for certain insurance contracts, in accordance with statutory accounting principles rather than in accordance with U.S. GAAP.

The CFTC Division of Market Oversight and Division of Clearing and Risk extended previously issued time-limited, no-action relief from clearing and trade execution requirements for certain inter-affiliate transactions.

The NFA Executive Committee increased the minimum security deposits required to be collected and maintained by Forex Dealer Members.

A broker-dealer subsidiary of a life insurance company agreed to pay a $1.75 million fine to settle charges that it had committed supervisory failures in connection with the sale of variable annuities. FINRA found that the subsidiary established a compensation scheme that exacerbated conflicts of interest.

The SEC granted a limited exemption from certain due diligence requirements, to permit a broker-dealer to publish, or submit for publication, quotations in an interdealer quotation systems for an over the counter security.