In response to a CFTC request for comments, NFA, FIA and ISDA addressed potential conflicts of interest and other issues related to affiliations between clearing and trading platforms and market intermediaries.
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Trade associations and financial groups responded to a CFTC proposal that would further define requirements on recovery and wind-down plans prepared by derivatives clearing organizations.
Sia Partners, a global management consultancy, identified additional market participants' concerns on an SEC proposal to require central clearing of Treasury security transactions and repurchase agreements.
The SEC declared effective a new interim fingerprint plan for FINRA. FINRA filed the new plan after retiring its previous processing platform because of technological changes.
The CFTC disapproved a designated contract market's proposed options contract based on which political party will have control of Congress.