The SEC's proposed amendments to Securities Exchange Act Rule 13n-4 ("Duties and Core Principles of Security-Based Swap Data Repository") were published in the Federal Register. The proposed rule amendments would implement the conditional Exchange Act requirement that security-based swap data repositories make data available to certain regulators and other authorities, and also would set forth a conditional exemption from the statutory indemnification requirement associated with that provision which grants regulatory access. Comments on the proposed amendments must be submitted by October 29

The CFTC's request for comment on its new program, the Registration-Deficient List ("RED List"), was published in the Federal Register. The RED List is a new tool that allows investors to identify unregistered foreign entities that could be engaged in illegal practices within the United States. It also identifies unregistered foreign entities that the CFTC has reason to believe are illegally soliciting and/or accepting funds from U.S. residents to trade in foreign currency or binary options. Comments on the program must be submitted by October 14, 2015.

The CFTC's new rule that requires all CFTC members registered as introducing brokers, commodity pool operators or commodity trading advisors to become and remain members of at least one registered futures association ( i.e., the National Futures Association) was published in the Federal Register. The effective date for the Final Rule is November 13, 2015. All members who are subject to the Final Rule must comply by December 31, 2015.

A Ukrainian firm agreed to pay $30 million to settle allegations that it profited from trading on nonpublic corporate information hacked from newswire services. By getting an early look at pertinent information before its public release, the traders are alleged to have generated more than $100 million in illegal profits over a five-year period. The SEC litigation continues against thirty two additional defendants.

SIFMA suggested revisions to FINRA and the MSRB's proposals to provide trading information to academics. SIFMA stated that its recommendations were intended to hide the identity of dealers generally, and to prevent the commercial use of trading information disclosed by the regulators to private researchers.