The CFTC submitted a proposed Consent Order to the District Court for the Northern District of Illinois that would resolve a civil enforcement action concerning allegations of "spoofing" and price manipulation.

The CFTC approved final amendments that specify the time period for filing annual Chief Compliance Officer Reports by futures commission merchants, swap dealers and major swap participants.

The SEC requested comments on a proposal to amend the requirements for the formation and composition of a quorum of the MSRB.

The SEC staff issued a no-action letter to SIFMA that will allow a broker-dealer to compute net capital by treating operating lease assets' value as a "good asset," to the extent of its associated operating lease liabilities, so that the two amounts effectively offset each other.

The Federal Reserve Bank of New York issued a new policy on counterparties for all domestic and foreign market operations. The new policy includes reduced capital requirements applicable to broker-dealer counterparties, including primary dealers in government securities.