The Committee on Payments and Market Infrastructures ("CPMI") and IOSCO published an assessment methodology for the oversight expectations applicable to financial market infrastructure's ("FMI") critical service providers. See: Assessment Methodology for Oversight Expectations Applicable to Critical Service Providers; IOSCO Press Release.

FINRA filed an amendment to FINRA Rule 2360(b)(5) with the SEC. The amendment requires broker-dealers to aggregate options positions in accounts acting in concert, and does so for the purpose of determining whether the accounts meet the 200-contract threshold for making a large options position report. The FINRA filing states that the rule change codifies an existing interpretive position of FINRA's, and reflects the equivalent rules of the U.S. options exchanges. Although the proposed amendment is effective immediately, comments may be submitted until January 13, 2015. See: 79 FR 77079

FINRA issued an information notice outlining its 2015 Holiday trade date, settlement date and margin extensions schedule. FINRA's schedule is intended to, among other things, reduce the number of requests for extensions of time for the Federal Reserve Board Regulation T and Exchange Act Rule 15c3-3 that may be denied around the holidays because of incorrect due dates that are often specified when such requests are made. In the information notice, FINRA explains that requests for extensions of time under Regulation T and Exchange Act Rule 15c3-3 that are made for "regular way" transactions

The CFTC extended the no-action relief granted in CFTC Letter 14-27 to Eurex Clearing AG ("Eurex") and clearing members of Eurex that are U.S. persons. The letter provides relief to Eurex, an applicant for registration as a derivatives clearing organization ("DCO"), for failing to register as a DCO pursuant to CEA Section 5b(a) while the CFTC continues to review Eurex's application. The Letter also grants relief to clearing members of Eurex that are U.S. persons for failing to clear certain interest rate swaps ("IRS") subject to mandatory clearing through a registered or exempt DCO. The

The CFTC's semiannual regulatory agenda for Fall 2014 was published in the Federal Register. The semiannual agenda consists of the significant rules that the CFTC expects to propose or promulgate over the next year. See: 79 FR 76803. Related news: SEC and CFTC Make Available Semiannual Regulatory Agendas (December 3, 2014).