FINRA notified member firms that the 2017 Renewal Program will begin on November 14, 2016. FINRA will make online Preliminary Statements available to all firms in the E-Bill format.

The SEC initiated proceedings against an "engagement" partner at an accounting firm, alleging that he failed to scrutinize millions of dollars taken from a venture capital fund in related party transactions under the guise of "advanced" management fees.

A New York audit firm agreed to settle charges that it had issued fraudulent audit reports in connection with municipal bond offerings.

The MSRB Board of Directors met with SEC and FINRA senior regulators to discuss oversight of the municipal securities market and coordination on cross-market initiatives.

The CFTC granted Orders of Registration to five foreign boards of trade (FBOTs). The registrations allow the FBOTs to provide identified members, or other participants located in the United States, with direct access to the FBOT's electronic order entry and trade matching systems.