Pursuant to the Municipalities Continuing Disclosure Cooperation Initiative, the SEC determined that "good cause exists for not denying" certain underwriters (i) various exemptions from registration and (ii) waivers from being ineligible issuers.

The CFTC authorized the NFA to receive notices of swap valuation disputes in excess of $20 million.

An SEC investigation found that a software company violated the recordkeeping and internal controls provisions of the Foreign Corrupt Practices Act of 1977.

The SEC settled charges against fourteen municipal underwriting firms for misstatements and omissions in municipal bond offerings. The settlements concluded a series of enforcement actions against underwriters under the Municipalities Continuing Disclosure Cooperation Initiative.

The SEC and FINRA opened registration for the "2016 Regional Compliance Outreach Program for Broker-Dealers."