The SEC granted exemptive relief to exchange-traded funds from the notice requirements of SEA Rule 10b-17 and the prohibitions of Rules 101 and 102 of Regulation M. The granting of the exemptive relief was published in the Federal Register.

The CFTC Market Risk Advisory Committee will meet on April 26, 2016 to examine issues related to access to the derivatives markets and portfolio compression.

The Corporation Finance Section of the North American Securities Administrators Association requested public comments on the proposed (i) new multistate Form U-1 and revised Form U-2, and (ii) revisions to several NASAA Corporation Finance Statements of Policy.

Two United Arab Emirates residents were fined by a federal court in New York for their alleged involvement in a spoofing scheme in the gold and silver futures market.

FINRA focused on the areas of sales practice, financial and operational controls and market integrity in a podcast concerning the FINRA 2016 Regulatory and Examination Priorities Letter.