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FINRA amended its Codes of Arbitration Procedure. The revisions make changes to the arbitrator list selection process and clarify requirements on prehearing conferences, hearings, claims and motions practice, case dismissals and hearing records.

The CFTC proposed a rule to require that futures commission merchants and swap dealers establish and maintain an "operational resilience framework" focusing on three components: information and technology security, third-party relationships and disruptions to standard business operations.