FINRA filed a proposed rule change to allow for consideration of a methodology that would mitigate confidentiality concerns that have been raised in connection with the publication of certain Regulation National Market System Plan data.

The CFTC adopted a revised Form 8-R. Individuals must use the revised form to register as an associated person of a CFTC registrant, floor broker, or floor trader, or to be listed as a principal of a registrant.

Federal Reserve Bank of New York President William C. Dudley offered several principles to consider when evaluating the post-financial crisis regulatory regime and raised questions about the effectiveness of the Volcker Rule.

The Government Accountability Office reported that 99 percent of the companies that filed conflict minerals disclosures in 2016 were unable to determine whether the conflict minerals financed or benefited armed groups.

The Conference of State Bank Supervisors filed a complaint against the Office of the Comptroller of Currency in an effort to prevent the creation of a national nonbank charter.