SIFMA expressed "serious concerns" about the "operational and practicability issues" in FINRA's proposal to establish margin requirements for transactions in the "to-be-announced" market.

The NFA reminded members to adopt and enforce written policies and procedures to secure customer data and access to their electronic systems by March 1, 2016.

Senator Elizabeth Warren (D-MA) and Representative Elijah E. Cummings (D-MD) argued that "insurers and financial firms provide much more optimistic assessments when they speak to their own investors" than in their "dire and unsupported public predictions and official comments to the Department of Labor about the impact of the proposed Conflicts of Interest rule."

FINRA proposed amendments to Rules 7410 and 7440 that would require FINRA members to identify broker-dealers that are not themselves FINRA members, but that send orders to reporting FINRA members. The amendments would require that FINRA members identify these broker dealers on their Order Audit Trail System ("OATS") reports.

The CFTC Division of Swap Dealer and Intermediary Oversight granted no-action relief from commodity pool operator and commodity trading advisor registration to the board of trustees of a pension plan group trust composed of two separate plans: a "qualifying entity" plan, and a plan that was "not construed to be a pool" under CFTC rules.