The SEC announced new SRO rules, rule proposals and NMS plans.

FINRA provided further detail regarding the technology and cybersecurity portions of its 2016 Regulatory and Examination Priorities Letter.

The Federal Register published an SEC request for comment on its proposed interpretation of the term "automated quotation" under Regulation NMS.

Researchers at the Office of Financial Research questioned the application of SEC Form PF as a risk-management instrument. In a published working paper, they recommended capturing additional characteristics on the form to "constrain the range of possible risk profiles more tightly," and suggested revamping the form to better represent complex portfolios.

In an interview with Energy Metro Desk Editor in Chief John Sodergreen, CFTC Commissioner J. Christopher Giancarlo cautioned global regulators against impeding innovation of blockchain technology with "protracted regulatory uncertainty or an uncoordinated regulatory approach."