The SEC proposed a rule amendment that would clarify an annual reporting exemption for certain broker-dealers.

FINRA proposed amending its anti-money laundering program for capital acquisition brokers. The amendment would require risk-based procedures for conducting customer due diligence.

The Consumer Financial Protection Bureau adopted an interim final rule creating a "new notice of rights" to be distributed to consumers whenever a summary of rights is required.

The CFTC revoked the foreign board of trade registration of ICE Futures Canada, Inc. due to the discontinuance of trading activities on, and the closure of, that exchange.

The Office of the Comptroller of the Currency proposed amendments to guidelines relating to recovery plans for large insured national banks, federal savings associations and federal branches.