New SRO rules, rule proposals and NMS plans were announced by the SEC. Click on the links below to view SEC notices of exchange rule changes and proposals for the week of October 3 - October 7.

The CFTC Division of Market Oversight extended time-limited no-action relief to Swap Execution Facilities from the requirement that a swap block trade must occur "away" from a trading system or platform.

The FDIC reminded banks that Consolidated Reports of Condition and Income ("Call Reports") for the September 30, 2016 report date must be submitted to the agencies' Central Data Repository by Sunday, October 30, 2016.

The SEC Division of Investment Management extended no-action relief regarding performance audit compliance under the Custody Rule of the Investment Advisers Act.

Representatives from U.S. derivative clearing organizations, their clearing members, and certain customers participated in a CFTC public roundtable to examine recent CPMI-IOSCO guidance on central counterparty resilience and recovery.