The CFTC Market Risk Advisory Committee will hold a meeting to (i) examine how CCPs can improve the coordination of their efforts when preparing for the default of a significant clearing member, and (ii) discuss the role of the FDIC and the CFTC in the resolution of banks and CCPs. The notice announcing the public meeting was published in the Federal Register.

The SEC requested comments on an adopted interim final amendment requiring companies filing their Form 10-K to provide the summaries of business and financial information that are contained in their annual reports to security holders. The interim final amendment and request for comments were published in the Federal Register.

The SEC Investor Advisory Committee approved (i) recommendations by the Market Structure Subcommittee to enhance information for bond market investors, and (ii) the SEC concept release on business and financial disclosure that is required by Regulation S-K.

FINRA fined a broker-dealer $2.9 million for unsuitable sales of nontraditional exchange-traded funds and related supervisory failures.

Various trade associations and business groups welcomed the formation of the Transatlantic Financial Regulatory Coherence Coalition, the purpose of which is to promote the Transatlantic Trade and Investment Partnership ("TTIP") agreement.