Industry associations warned the SEC that its proposal on incentive-based compensation arrangements imposes restraints that exceed Dodd-Frank Act rules intended to discourage inappropriate risk-taking at Covered Financial Institutions.

The CFTC proposed amendments to regulations that concern the conditions under which certain non-U.S. entities acting in the capacity of futures commission merchants, introducing brokers, commodity trading advisors and commodity pool operators may qualify for exemptions from registration with the CFTC.

FINRA proposed amending the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to require all parties, except customers who are not represented by an attorney or other person, to use the FINRA Office of Dispute Resolution's Party Portal.

The SEC solicited comments on proposed amendments to Rules 600 and 606 of the Regulation National Market System that would require broker-dealers to (i) disclose categorized information about the routing of institutional orders on a quarterly basis, and (ii) expand the information that is included in existing retail order disclosures.

The SEC adopted final Exchange Act Rule 13q-1 and amended Form SD in order to require resource extraction issuers to disclose payments made to the U.S. federal government or foreign governments for the commercial development of oil, natural gas and minerals. The final rule and form amendment were published in the Federal Register.