The Federal Register published an SEC request for comments on an MSRB proposal to provide academic institutions with post-trade municipal securities transaction data collected through the MSRB Real-Time Transaction Reporting System.

Numerous industry participants offered support for a CFTC proposal that would (i) transition liquid standardized swaps from the over-the-counter derivatives market to greater central clearing, and (ii) expand mandatory clearing to additional interest rate swap classes.

FINRA fined a firm for failing to detect and prevent a scheme that resulted in the theft of approximately $1.3 million from an 89-year-old customer's variable annuity account.

The SEC Advisory Committee on Small and Emerging Companies reviewed (i) the first year of Regulation A+, (ii) recommendations concerning the current definition of an "accredited investor," and (iii) a recent proposal to amend the definition of "smaller reporting company."

The Investment Company Institute urged the Financial Stability Oversight Council to reconsider its conclusion that liquidity and redemptions in mutual funds carry significant financial stability risk.