The Senate Homeland Security and Governmental Affairs Committee published a report by its majority staff that examined the process that led to the DOL's fiduciary rulemaking on retirement plans.

The CFTC requested public comments on a petition by a derivatives clearing organization ("DCO") for an order permitting portfolio margining of futures and foreign futures contracts and cleared swaps contracts.

FINRA asked member firms to submit information concerning their respective "cultures" in order to review how they "establish, communicate and implement cultural values, and whether cultural values are guiding business conduct."

In testimony before the House Subcommittee on Commodity Exchanges, Energy and Credit, CFTC Director of Data and Technology John Rogers reviewed progress toward achieving G-20 swap data reporting goals and outlined initiatives to improve the accuracy, efficiency and timeliness of data reporting.

The MSRB emphasized key compliance risks for brokers, dealers and municipal securities dealers that, "if not properly addressed, could adversely affect municipal entities, obligated persons, investors and public confidence in the municipal securities market."