The SEC requested comments on a FINRA proposal to amend the Codes of Arbitration Procedures for Customer and Industry Disputes. The proposal would allow arbitrators to act on a motion to dismiss a party or claim prior to the conclusion of a party's case, subject to certain conditions. The request for comments was published in the Federal Register.

The SEC granted accelerated approval of a FINRA proposal that amends the Code of Arbitration Procedures for Customer and Industry Disputes. The final amendments and request for comments were published in the Federal Register.

The SEC requested comments on a FINRA proposal that would amend the Code of Arbitration Procedure for Customer Disputes, and the Code of Arbitration Procedure for Industry Disputes, to require all parties except customers without representation by attorneys or other persons to use the FINRA Office of Dispute Resolution Party Portal. The request for comments was published in the Federal Register.

The Financial Crimes Enforcement Network named Thomas Ott, Associate Director of the Enforcement Division.

The Futures Industry Association Principal Traders Group criticized the CFTC for failing to address whether certain swaps should be excluded from an entity's de minimis calculation.