At the 35th Annual SEC Government-Business Forum on Small Business Capital Formation, SEC Chair Mary Jo White and Commissioner Michael Piwowar reflected on rulemaking initiatives intended to remove barriers to capital formation for small and emerging companies.

The Board of Governors of the Federal Reserve System voted to broaden the scope of post-employment restrictions applicable to Federal Reserve Bank senior examiners and officers.

The SEC approved MSRB and FINRA proposals requiring securities dealers to disclose the compensation received in transactions with retail investors.

"The Risk Desk" editor John R. Sodergreen described the debate between CFTC Chair Timothy Massad and Commissioner Chris Giancarlo over an amendment to proposed Regulation Automated Trading that would allow the CFTC access to an algorithmic firm's trading source code without first issuing a subpoena.

The NFA named Thomas Sexton to replace Daniel Roth as NFA President and CEO.