FINRA notified member firms that, pursuant to an updated SEC Division of Trading and Markets no-action letter, broker-dealers and OTC derivative dealers may file annual and supplemental reports with the agency electronically in lieu of submitting the reports in paper form.

Board of Governors of the Federal Reserve System Governor Daniel K. Tarullo submitted his resignation letter to President Trump, effective on or around April 5, 2017.

FINRA requested comment on proposed amendments that would permit a firm to distribute a "customized hypothetical investment planning illustration that includes the projected performance of an asset allocation or other investment strategy, but not an individual security, subject to specified conditions."

The Office of Financial Research examined how the implementation of new Basel III capital buffer requirements by the Board of Governors of the Federal Reserve System could affect Comprehensive Capital Analysis and Review stress test results.

ISDA CEO Scott O'Malia discussed the upcoming deadline for collecting variation margin on swaps, as well as an industry request for a "transition period."