The Federal Deposit Insurance Corporation ("FDIC") and other banking agencies proposed revisions to the regulatory capital components and ratios portion of Schedule RC-R, "Regulatory Capital," of the Consolidated Reports of Condition and Income ("Call Report"). Additionally, the agencies proposed to revise the FFIEC 101, Risk-Based Capital Reporting for Institutions Subject to the Advanced Capital Adequacy Framework, which generally applies to institutions with consolidated total assets of $250 billion or more, or consolidated total on-balance sheet foreign exposure of $10 billion or more

SEC Chair Mary Jo White delivered a speech to the Council of Institutional Investors at their fall conference in Chicago, highlighting the importance of "deploying the full enforcement arsenal" for the benefit of investors. Chair White explained the SEC's priorities, stating that one of their highest priorities is to complete the Congressionally mandated rules stemming from Dodd-Frank and the JOBS Act. White also spoke about the SEC's enforcement principles, highlighting certain techniques the SEC employs. For example, Chair White voiced her support for the legislation introduced in Congress

The SEC is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System ("EDGAR") Filer Manual, and related rules, to reflect updates to the EDGAR system. The revisions are being made primarily to submission form types 13F-HR and 13F-HR/A and to support updates to Form D. See: SEC Adoption of Updated EDGAR Filer Manual. See also: SEC Publishes Revised Form D (September 23, 2013); SEC Adoption of Updated EDGAR Filer Manual (Final Rule; Pre-Fed. Reg. Version) (May 17, 2013).

The CFTC obtained an Order of default judgement and permanent injunction against CFTC-registered independent Introducing Broker, iFinix Futures, Inc. ("iFinix"), and its senior executive officer, Benhope Marlon Munroe, for making false statements to the National Futures Association ("NFA") and failing to meet minimum financial requirements. The CFTC Order alleged that Munroe and iFinix willfully provided at least five falsified bank account documents to the NFA during its audit of iFinix in order to conceal iFinix's failure to maintain adequate capital in July 2011. The Order also stated that

SIFMA filed a reply brief in connection with its application for review of certain NYSE and other exchange data fees. SIFMA's brief focuses on procedural issues, including whether exchange market data is a service offered by the exchanges and, therefore, whether market data fees can be challenged under Exchange Act Section 19(d) ("Registration, Responsibilities, and Oversight of Self-Regulatory Organizations"). Assuming a challenge can be made, the brief also focused on the applicable standard of review. SIFMA argues that the plain language of Section 19(d) makes it clear that the SEC must