IOSCO published a report in which it recommended sound practices for investment risk education. The report is intended to provide investors and regulators with information that will help to prevent the misalignment of perceived risk and actual investment risk. According to IOSCO, misalignment leads to "uninformed" decision-making and causes "significant financial loss and emotional harm" to investors.

The Investment Company Institute ("ICI") suggested revisions to the CFTC's proposed rule on the cross-border application of margin requirements for uncleared swaps.Specifically, ICI suggested that the proposed rule: include an exception to the definition of "U.S. person" for a pool, fund or other collective investment vehicle if it is publicly offered only to non-U.S. persons and not to U.S. persons; permit substituted compliance without qualification if the CFTC finds a foreign jurisdiction's margin requirements to be comparable to the margin rules; adopt a method for comparability

FINRA sanctioned ten former investment banking representatives from the same company in an ongoing effort to track groups of brokers who move from an expelled or high-risk firm to other securities firms. As a result of its 2014 onsite exam, FINRA found that the ten representatives engaged in securities fraud by using misleading sales pitches and high-pressure sales tactics in order to sell junk bonds and other securities to customers. Seven of the ten representatives had joined the firm together after leaving a previous company. FINRA's investigation found that the branch offices of both

The SEC delayed action on a proposed rule change to amend FINRA Rule 6730 ("Transaction Reporting"). A notice of the delay was published in the Federal Register. The FINRA-proposed amendment requires an indicator when the TRACE report does not reflect a commission or markup/markdown. SEC action is delayed until November 5, 2015.

CFTC Commissioner J. Christopher Giancarlo warned against the potentially harmful effects of the CFTC's proposed rules on trading position limits. "If left unchanged, the proposed rules will impose federal regulatory edicts in place of commercial judgment in everyday risk hedging," he argued. The Commissioner delivered his remarks in a keynote address before the Capital Link Global Commodities, Energy and Shipping Forum. Commissioner Giancarlo addressed specific concerns on position limits voiced at panel presentations before the Energy and Environmental Markets Advisory Committee ("EEMAC")