FINRA requested comment on proposed amendments that would permit a firm to distribute a "customized hypothetical investment planning illustration that includes the projected performance of an asset allocation or other investment strategy, but not an individual security, subject to specified conditions."

The Office of Financial Research examined how the implementation of new Basel III capital buffer requirements by the Board of Governors of the Federal Reserve System could affect Comprehensive Capital Analysis and Review stress test results.

ISDA CEO Scott O'Malia discussed the upcoming deadline for collecting variation margin on swaps, as well as an industry request for a "transition period."

Texas-based commodity pool operators agreed to settle CFTC charges alleging violations of numerous commodity pool rules, including the failure to register as a CPO prior to operating two commodity interest pools.

The SEC requested comments on a FINRA proposal to adopt the compliance rules required to implement the Consolidated Audit Trail.