The MSRB held a quarterly meeting at which it discussed a number of initiatives.

The SEC approved the Form 1 application by International Securities Holdings, Inc. ("ISE Holdings") for ISE Mercury, which is ISE Holdings' third options exchange. The SEC's approval will become effective on February 16, 2016.

The SEC settled separate charges of federal securities violations against two investment firms operating alternate trading systems, known as "dark pools." The New York Attorney General also announced actions against the two firms.

U.S. Senator Elizabeth Warren (D-MA) outlined "20 of the most egregious civil and criminal cases during the past year in which federal settlements failed to require meaningful accountability to deter future wrongdoing and to protect taxpayers and families." The outline appeared in a report titled "Rigged Justice: How Weak Enforcement Lets Corporate Offenders off Easy."

CFTC Chair Timothy E. Massad outlined CFTC actions involving recordkeeping and margin requirements for uncleared swaps. In a speech before the Commodity Markets Council, he asserted that the CFTC has made "significant progress" in "protecting end-users from overly onerous regulatory burdens."