The CME Group, comprised of CME, CBOT, NYMEX and COMEX, adopted new rules on access and authorizations to member exchanges by sanctioned parties.

The SEC corrected its rule proposal regarding the form and manner in which security-based swap data repositories ("SDRs") would be required to make data available to the SEC under Exchange Act Rule 13n-4(b)(5) ("Duties and Core Principles of Security-Based Swap Data Repository"). The SEC's request for comments was published in the Federal Register.

The U.S. Court of Appeals for the Second Circuit upheld a lower court dismissal of claims alleging that a bank's CEO and 12 other executives ignored irregular transactions arising directly from Bernard Madoff's Ponzi scheme.

FINRA's proposed revisions to the content outline and selection specifications for the General Securities Sales Supervisor Examination ("Series 9/10") were published in the Federal Register.

FINRA's proposal to amend the instructions for the Derivatives and Other Off-Balance Sheet Items Schedule ("OBS") pursuant to FINRA Rule 4524 ("Supplemental FOCUS Information") was published for comment in the Federal Register.