The NFA released an Interpretive Notice regarding the electronic filing of financial reports.

FINRA released its third podcast in a four-part series that covers important topics in continuing education firm element training plans. The latest podcast focuses on the options market.

The CFTC authorized the NFA to receive, review, maintain and serve as the official custodian of records for notices provided by swap dealers and major swap participants of swap valuation disputes. The affected notices pertain to disputes in excess of $20 million (or its equivalent in any other currency) pursuant to CFTC Rule 23.502(c). The CFTC notice of authorization was published in the Federal Register.

The CFTC requested comments on an Information Collection Request that was made under CFTC Rule 3.3. The rule requires each futures commission merchant ("FCM"), swap dealer ("SD") and major swap participant ("MSP") file a Form 8-R in order to designate the chief compliance officer who is responsible for the development and administration of policies and procedures that fulfill certain FCM, SD or MSP duties in order to ensure compliance with the CEA and CFTC rules. The request for comments was published in the Federal Register.

The SEC published an order to determine whether to approve a proposal by FINRA that would establish margin requirements for "To-Be-Announced" transactions and other forward-settling transactions in agency securities on such transactions.