The SEC adopted final rules to enhance standards for systemically important and security-based swap clearing agencies. The final rules were published in the Federal Register.

Risk Desk editor John Sodergreen predicted a rush to complete the CFTC capital requirements rule and Regulation Automated Trading proposals.

In an article published in the Federal Reserve Bank of New York Economic Policy Review, economists examined the "role of financial reporting in resolving agency conflicts among a firm’s managers, directors, and capital providers."

The SEC requested comments on a FINRA proposal to amend the FINRA Rule 7600B Series to modify fees and transaction credits applicable to members who use the FINRA/NYSE Trade Reporting Facility.

The MSRB requested comments on (i) strategic goals in the coming year(s), (ii) how it should prioritize core activities, and (iii) the development of the Electronic Municipal Market Access website.