The NFA revised the procedure requiring swap dealers ("SD") and major swap participants ("MSP" ) to demonstrate an ability to comply with applicable CFTC regulations.

FINRA summarized its latest notices, firm compliance information, investor education initiatives and other news in a recap of its monthly regulatory activities.

This year, FINRA will focus its regulatory efforts on the broad categories of supervision, risk management and controls, and liquidity.

ISDA updated its Over-the-Counter Derivatives Compliance Calendar.

The SEC Division of Trading and Markets adopted a rule that permits broker-dealers and over-the-counter derivatives dealers to file annual and supplemental reports electronically.