The CFTC added the names of 23 unregistered foreign entities to the Registration Deficient List.

The Investment Company Institute published data on the total assets in closed-end funds in 2015, the investors in such funds, the use of leverage by such funds and other related information.

Subject to extensive conditions, the SEC Division of Investment Management granted no-action relief permitting an advisory firm or its affiliated broker-dealer to buy fractional shares from advisory clients without trade-specific disclosures and consent.

The MSRB Directors debated an initiative to improve investor guidance of transaction costs in municipal securities.

Federal Reserve Bank of New York President and CEO William C. Dudley voiced optimism about the "substantial progress" made in "strengthening the global banking system." He cited the establishment of capital and liquidity standards for internationally active banks, and recent steps taken to respond to cross border failure of systemically important financial firms.