FINRA's amendment would clarify the definition of "capital acquisition brokers" under its proposal to create a separate rule set.

The SEC requested comment on Amendment No. 2 to a FINRA rule proposal to adopt margin requirements for "to-be-announced" transactions and other forward-settling agency securities transactions.

The NFA outlined its approval process for acceptable models that could be used in calculating CFTC margin requirements.

The SEC Office of Investor Education and Advocacy identified factors to consider when making a decision based on investment performance claims.

ISDA elected 10 directors at its 31st General Meeting in Tokyo.