The U.S. District Court for the Southern District of New York, Judge Analisa Torres, dismissed the CFTC's argument that it did not prove the intent to create an artificial price in order for it to establish a manipulation claim against an investment firm and the firm's CEO.

The SEC Division of Investment Management granted no-action relief to a publicly traded company from the requirement that it register its subsidiaries as investment companies.

The SEC notified investors that a new National Market System Plan to implement a Tick Size Pilot Program went into effect on October 3, 2016. The plan effectively widened the minimum quoting and trading increment, or "tick size," for certain small capitalization stocks.

The SEC Division of Investment Management granted no-action relief in order to permit certain investment advisory entities created by a merger to continue to rely on pre-merger exemptive orders.

FINRA announced that it is publishing monthly information on block-sized trades occurring on alternative trading systems ("ATS").