SIFMA argued that the proposed rules establishing fees for various exchange trading and execution services, including connectivity to market data feeds, violate the Securities Exchange Act.

The SEC named Dr. Narahari Phatak, Associate Director for Policy in the Division of Economic and Risk Analysis .

FINRA issued a schedule of trade dates, settlement dates and margin extension requests in order to assist firms and facilitate requests for extensions during the holidays.

The Board of Governors of the Federal Reserve System provided guidance on the process to be used by banking entities seeking an extension to continue to retain investments that qualify as "illiquid funds."

"Risk Desk" editor John Sodergreen considered the CFTC re-proposal on a position limits, despite opposition to it in Congress.