AFL-CIO Office of Investment Director Heather Slavkin Corzo asserted that SEC Chair Mary Jo White mischaracterized her organization's position on the SEC disclosure initiative.

The SEC requested comment on an amendment to an industry plan that governs the process for how participating self-regulatory organizations (i) evaluate and select a plan processor, and (ii) develop a National Market System plan governing the Consolidated Audit Trail. The request for comments was published in the Federal Register.

The SIFMA Asset Management Group argued that the Depository Trust and Clearing Corporation should revise its on-boarding requirements before its application to become a Security-Based Swap Data Repository is approved.

The MFA warned that a Federal Reserve Board proposal to restrict the qualified financial contracts of systemically important U.S. banking organizations could "harm the stability of the financial markets while also eroding long-standing and deeply rooted rights of investors, end users and other market participants."

The SEC charged three individuals and two now-defunct brokerage firms with fraud for misleading current and prospective customers about transaction fees.