In anticipation of annual elections, FINRA provided an overview of the governance structure for the District Committees, the Small Firm Advisory Board, the National Adjudicatory Council and the Board of Governors.

E*TRADE Securities LLC, an introducing broker, and E*TRADE Clearing LLC, a futures commission merchant, agreed jointly to pay a penalty to settle CFTC allegations that the two entities failed to supervise a third-party vendor that generated inaccurate audit trail logs for their customers.

The CFTC extended the comment period for the Supplemental Notice of Proposed Rulemaking for Regulation Automated Trading from January 24, 2017 to May 1, 2017.

Two large buy-side trade groups asked regulators to provide transitional relief from the March 1 compliance date for variation margin requirements.

FIA CEO Walt Lukken urged President Trump to reduce the "cumulative regulatory burden" of the Dodd-Frank Act and other post-crisis regulations on derivatives markets.