The MSRB requested comment on draft amendments to establish uniform customer account transfer standards for brokers, dealers, municipal securities brokers and municipal securities dealers.

SEC Chair Mary Jo White called on the next Chair of the Commission to prioritize the development of "high-quality, globally accepted accounting standards."

U.S. District Court for the Southern District of New York Judge Victor Marrero granted a Consent Order to the CFTC requiring former MF Global CEO Jon S. Corzine to pay a $5 million civil monetary penalty for allegedly misusing customer funds.

The National Futures Association notified member firms that the CFTC approved an amendment requiring forex dealer members to provide customers with certain transaction execution data upon request.

FINRA proposed extending the expiration date of FINRA Rule 0180 to February 12, 2018. The rule limits the application of FINRA rules temporarily with respect to security-based swaps.