FINRA notified member firms that the SEC approved a FINRA proposal to amend FINRA Rule 6700 Series and the Trade Reporting and Compliance Engine ("TRACE") dissemination protocols. The amendments will become effective on March 20, 2017.

The CFTC requested comments on proposed rules and interpretations that address the cross-border application of certain swap provisions under the CEA. The request for comments was published in the Federal Register.

The CFTC approved an order establishing December 31, 2018 as the termination date for the swap dealer registration de minimis threshold phase-in. The final order was published in the Federal Register.

SEC Director Mark Wyatt outlined the "four pillars" that support the mission of the Office of Compliance Inspections and Examinations: (1) improving compliance, (2) preventing fraud, (3) monitoring risk, and (4) informing policy.

FINRA notified member firms that the SEC approved a FINRA-proposed rule set for firms that meet the definition of "capital acquisition broker" and elect to be governed by it.