The CFTC voted unanimously to propose rules and interpretations that address the cross-border application of certain swap provisions under the CEA.

FINRA announced that "firms that elect to submit clearing-eligible trades to the Alternative Display Facility using 'Trade Match' or 'Trade Acceptance' functionality must identify only a contra party that is another ADF participant with access to the ADF and the ability to view and take action with respect to the submission."

New SRO rules, rule proposals and NMS plans were announced by the SEC. Click on the links below to view SEC notices of exchange rule changes and proposals for the week of October 3 - October 7.

The CFTC Division of Market Oversight extended time-limited no-action relief to Swap Execution Facilities from the requirement that a swap block trade must occur "away" from a trading system or platform.

The FDIC reminded banks that Consolidated Reports of Condition and Income ("Call Reports") for the September 30, 2016 report date must be submitted to the agencies' Central Data Repository by Sunday, October 30, 2016.