The CFTC Division of Market Oversight issued the results of a rule enforcement review of the New York Mercantile Exchange and Commodity Exchange.

The CFTC approved an Order establishing December 31, 2018 as the termination date for the swap dealer registration de minimis threshold phase-in.

The SEC voted to adopt rule changes under the Investment Company Act that will (i) expand reporting and disclosure by registered investment companies, (ii) impose additional liquidity risk requirements by open-end funds, and (iii) permit mutual funds to use "swing pricing."

An investment bank agreed to pay a $9.5 million penalty to settle SEC allegations that the bank failed to safeguard research information properly.

The SEC approved and declared effective a plan for allocating regulatory responsibility between FINRA and several Bats Exchanges in order to reduce regulatory duplication. The final order was published in the Federal Register.