The Federal Register published an SEC Order approving FINRA Rule 3210 specifying the particular information that the employee of a broker-dealer must provide to their employing firm regarding trades at an outside firm.

FINRA approved a proposed rule change to adopt a new, consolidated rule addressing accounts opened or established by associated persons of members at firms other than the firm with which they are associated.

The Senate Banking Committee reviewed actions taken by the Consumer Financial Protection Bureau in enforcement, fair lending, arbitration clauses, payday loans and exemptions. In a separate hearing, the Senate Banking Committee postponed SEC nominations and questioned CFPB Director Richard Cordray about the CFPB's Semi-Annual Report to Congress.

SIFMA Executive Vice President of Business Policies and Practices Randy Snook focused on the changing role of exchanges as self-regulatory organizations within the equity market structure.

CFTC Commissioner J. Christopher Giancarlo emphasized the "enormous implications" of "blockchain" technology for capital and hedging markets that are overseen by the CFTC and other regulators.